The Director, Compliance working under the direction of the Chief Compliance Officer, supports the design, implementation, and ongoing oversight of the firm's compliance and supervision program for Integrity Alliance and Integrity Advisory Solutions. This role partners closely with leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervision across the organization, and support business activities conducted with financial professionals.
The Director, Compliance plays a key role in advising the business on compliance considerations specific to a retail environment and helps ensure the firm's supervisory framework remains effective, risk-based, and aligned with regulatory expectations. This individual is a strategic partner to the business - someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset.
Key Responsibilities
Job Requirements
Active FINRA registrations:
SIE, 7, 24, and 63/65 required upfront
Series 4, 14, and 53 required within 6 months of hire
7+ years of experience with broker dealer and investment adviser compliance, management experience preferred
Bachelor's degree preferred; additional degrees (MBA/JD) a plus
Life and Annuity Insurance license preferred
Demonstrated ability to influence change and partner effectively with business leaders
Passion for building and enhancing a culture of compliance with a proven ability to remain composed under pressure and navigate complex, fast-moving situations
Solutions-oriented mindset with the ability to balance business objectives and regulatory requirements (not a "no-first" approach)
Excellent judgement, communication, presentation, and analytical skills
Strong communication, presentation, and analytical skills - proficient in Microsoft products
Organized with the ability to handle multiple tasks and multiple priorities simultaneously
Ability to work independently and communicate results
About Integrity
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 life, health and wealth so they can prepare for the good days ahead.
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. 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.
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 Integrity.com.
Integrity, 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, LLC will provide reasonable accommodations for qualified individuals with disabilities.