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Director, Compliance at Integrity, LLC - ApplyBlast

Director, Compliance

Integrity, LLC

4 months ago

Dallas, TX

Onsite

Full Time

Senior

0 applicants

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About this role

The Director, Compliance leads the design, implementation, and oversight of the firm's compliance and supervision program for integrity alliance and advisory solutions. Reporting to the Chief Compliance Officer, this strategic partner ensures adherence to regulatory requirements, manages risk assessments, and advises business leadership on compliance considerations within a retail financial environment. The role involves leading a small team, coordinating regulatory responses, and driving enterprise-wide initiatives to maintain a strong culture of compliance.

Responsibilities

Support administration and enhancement of the firm's compliance program
Perform advertising review in accordance with applicable regulatory standards
Coordinate responses to regulatory inquiries and manage regulatory exams
Manage a small team of compliance professionals
Lead enterprise-wide initiatives and cross-functional projects

Skills

Qualifications

Bachelor's degreeSeries 7Series 24Series 63/65Series 4

About Integrity, LLC

integrity.com

Company Size

1-10 employees

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Integrity is a leader in providing holistic life, health and wealth planning and solutions designed to help Americans prepare for the good days ahead.