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 - Support the administration and continuous enhancement of the firm's compliance program through the development, implementation, and maintenance of risk assessments, written supervisory procedures (WSPs), and compliance testing
- Perform advertising review in accordance with applicable regulatory standards
- Coordinate responses to regulatory inquiries and assist in communications with regulators
- Support the compilation and preparation of regulatory filings including all parts of Form ADV, Form BD, and Form CRS along with other client facing documents such as privacy notice and 408(b)2.
- Assist in the coordination and management of regulatory examinations, audits, and disclosures
- Manage a small team of compliance professionals, providing formal and informal leadership across the compliance team
- Lead or participate in enterprise-wide initiatives and cross-functional projects
- Take ownership of large, complex projects and drive execution from planning through completion
- Support training and communication initiatives to reinforce a culture of compliance
- Monitor regulatory developments (federal, state and SRO regulations) and assist in evaluating and implementing updates impacting the firm and its business
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
