Broker-dealer and registered investment adviser environments
Sec, finra, msrb, and state securities requirements
Investment advisers act of 1940
This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more
Job Summary
This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more.
This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities.
Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Matching Summary
This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more.
Skills & Requirements
Must-have
Broker-dealer and registered investment adviser environments
SEC, FINRA, MSRB, and state securities requirements
Investment Advisers Act of 1940
FINRA rules and supervisory structures
Retail brokerage and advisory platforms
Annuity and alternative products
Nice-to-have
Strategic, collaborative, no ego leader
Solutions-oriented mindset
Adaptability in a fast-growing organization
Team-oriented approach
Key Requirements
Series 4, 7, 14, 24, 53, 63, and 65/66 registrations
Proven ability to build and lead compliance programs
Experience building, coaching and managing teams
Management experience with seasoned professionals
Ability to manage litigation and regulatory settlements