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Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their health and wealth so they can be ready for the good days ahead.
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Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit
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IntegrityMarketing.com
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The Role
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The Compliance Director will work directly with the Chief Compliance Officer (CCO)/ Chief Operating Officer (COO) and will manage and oversee compliance related functions for Brokers International Financial Services, LLC. The Director will direct programs, policies, and practices to ensure that all business units are in compliance with rules and regulations and tracks changes in regulations that might affect the organization’s policies and implements necessary changes.
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Essential Job Functions, other duties assigned
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Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program
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Perform audits of OSJ offices and individual registered representatives and investment adviser representatives.
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Responds to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations
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Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution or problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
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Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
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Institutes and maintains an effective compliance communication program for the organization, including promoting the understanding of new and existing compliance issues and related policies and procedures.
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Oversees the development of an effective compliance training program, including appropriate introductory training for new employees and registered representatives as well as ongoing training.
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Help develop monitoring programs and exception reports to look for rule violations or potential sales practice issues.
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Experience and Education
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Prior Broker Dealer and RIA experience preferred. Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning and securities a plus.
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Four-year college or university program certificate and six to eight years related experience and/or training; or equivalent combination of education and experience.
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FINRA Series 7 and 24 required, Series 66, Series 65, Series 53, and Series 4 preferred or required within 6 months; Insurance and state securities license(s) in state(s) of operation for life, health, and variable annuity may be required.
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Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily.
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Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
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<i> Integrity Marketing Group, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity Marketing Group, LLC will provide reasonable accommodations for qualified individuals with disabilities</i>
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