Not specified; not specified; competitive compensa...
Deep experience with broker-dealer and ria operations
Hands-on expertise with sec and finra regulations
Proven ability to build multi-entity compliance programs
This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform
Job Summary
This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform.
The ideal candidate brings deep experience within both broker dealer and registered investment adviser environments, including hands on expertise with investment products and securities regulations.
Integrity offers a competitive compensation package and a family-like environment that celebrates hard work and supports daily professional growth.
Matching Summary
This role is central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities within a $50 billion asset platform.
Salary
Not specified; Not specified; Competitive compensation package including benefits
Skills & Requirements
Must-have
Deep experience with broker-dealer and RIA operations
Hands-on expertise with SEC and FINRA regulations
Proven ability to build multi-entity compliance programs
Experience managing litigation and regulatory settlements
Strong knowledge of Investment Advisers Act of 1940
Nice-to-have
No-ego collaborative leadership style
Ability to simplify complex regulatory concepts
Experience in fast-growing hyper-growth environments
Technology-enabled oversight and testing mechanisms
Key Requirements
Series 4, 7, 14, 24, 53, 63, and 65/66 licenses
Extensive experience with MSRB and state securities requirements
Management experience leading distributed teams of compliance officers
Demonstrated credibility with regulators and auditors