Compliance Analyst, Supervision

Integrity Marketing Group•Urbandale, IA

8d•Onsite

About The Position

We are seeking a Compliance Analyst - Supervision responsible for supervising all activities of registered representatives and investment advisor representatives and serving as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry.

Requirements

Bachelor’s degree or equivalent combination of education and relevant work experience
Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience
Active FINRA SIE, Series 7 and Series 24 licenses required
Committed to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamwork
Excellent interpersonal communication skills, both written and verbal
Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
Ability to work independently and take initiative while being part of a team
Proven work ethic with a high level of integrity to build trust with our clients and colleagues
Excited about joining an experienced team and contributing to the direction and growth of the company

Nice To Haves

Series 4 & 53 within 12 months
Experience with Pershing, Schwab and Fidelity’s platforms preferred
Familiarity with variable annuity and variable life products helpful

Responsibilities

Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities.
Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity.
Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
Assist with Investment Adviser and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120
Assist with the development of compliance training and education materials for financial professionals and track completion
Monitor and review trading activity in representatives outside brokerage accounts
Contribute to regulatory change management assignments and assist with compliance manual and policy updates
Other duties and projects as assigned