Chief Compliance Officer, Integrity Wealth
About The Position
About Integrity: A leading, fast-growing national platform in the insurance, wealth, and retirement services sector is seeking a senior regulatory and compliance executive to lead the regulatory compliance and enterprise risk functions for its multi-entity, expanding wealth management business. This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more. Job summary: This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities. In this highly visible leadership role, the executive will drive compliance oversight, guide regulatory and risk strategy; interface directly with regulators; oversee examinations and filings; identify and lead risk mitigation initiatives; oversee all required regulatory filings; and partner closely with business leaders to ensure practices remain aligned with business strategy and evolving federal and state laws, SEC and FINRA requirements, and industry standards. The ideal candidate brings deep experience within both broker dealer and registered investment adviser environments, including hands on expertise with investment products, securities regulations, and best practice supervisory structures. This leader will manage litigation strategy, oversee a distributed team of compliance officers, and collaborate closely with business executives and the broader legal organization to support innovation, drive operational integrity, and proactively mitigate risk. This is a high impact role for a strategic, collaborative, “no ego” leader who excels in complex, highly regulated financial environments and is eager to help shape the next phase of growth for a dynamic wealth management platform. Ideal Fit for This Opportunity: This role is tailored for a seasoned compliance and legal leader with deep experience in both broker-dealer and registered investment adviser operations who thrives in a dynamic, growth-oriented environment.
Requirements
- Deep Regulatory Expertise • Extensive experience with BD and RIA regulatory frameworks, including SEC, FINRA, MSRB, and state securities requirements.
- Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules, supervisory structures, and industry best practices.
- Hands-on familiarity with retail brokerage, advisory platforms, annuity and alternative products, and prudent investor standards.
- Licensing & Professional Qualifications • Series registrations such as 4, 7, 14, 24, 53, 63, and 65/66 (or willingness to obtain missing licenses quickly).
- Demonstrated credibility with regulators, auditors, and internal stakeholders.
- Leadership & Enterprise Risk Capability • Proven ability to build, scale, and lead multi-entity compliance and risk programs across complex organizations.
- Experience building, coaching and managing teams of compliance officers and partnering effectively across legal, risk, and business functions.
- Ability to diagnose emerging regulatory risks and implement proactive, technology-enabled oversight and testing mechanisms.
- Active management style with management experience. Must be able to manage and coach seasoned, diverse group of professionals towards results-oriented success and accountability.
- Strategic Judgment • A practical, solutions-oriented mindset with the ability to balance regulatory expectations against business needs.
- Excellent written and verbal communication skills; able to simplify complex regulatory concepts for executive leadership.
- Ability to manage litigation, regulatory settlements, and high-stakes matters with sound judgment and discretion.
- Collaboration & Culture Fit • A “no-ego,” team-oriented approach that builds trust across business units and with senior leadership.
- Adaptability in a fast-growing organization where regulatory demands and business priorities continue to evolve.
Responsibilities
- Drive compliance oversight
- Guide regulatory and risk strategy
- Interface directly with regulators
- Oversee examinations and filings
- Identify and lead risk mitigation initiatives
- Oversee all required regulatory filings
- Partner closely with business leaders to ensure practices remain aligned with business strategy and evolving federal and state laws, SEC and FINRA requirements, and industry standards
- Manage litigation strategy
- Oversee a distributed team of compliance officers
- Collaborate closely with business executives and the broader legal organization to support innovation, drive operational integrity, and proactively mitigate risk
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What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
No Education Listed
