Deputy CCO

Integrity Marketing Group•Urbandale, IA

About The Position

This role demands hands-on experience designing, implementing, and maintaining a comprehensive, risk-based compliance program for a regulated financial services entity. Success depends on the ability to clearly communicate compliance expectations, provide strategic guidance, and influence outcomes without impeding business objectives. The role calls for excellent written, verbal, and interpersonal communication skills, including the ability to explain complex regulatory matters clearly and succinctly. Strong judgment, adaptability, and the ability to manage multiple priorities in time-sensitive situations are critical. Building, coaching and managing compliance staff and partnering effectively across legal, risk, and business functions.

Requirements

Deep Regulatory and Technical Expertise
Strong command of U.S. securities laws and regulatory frameworks applicable to investment advisory and broker-dealer activities
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, the Securities Act of 1933, the Securities Exchange Act of 1934, related SEC and FINRA rules, supervisory structures, and industry best practices
Hands-on familiarity with retail brokerage, advisory platforms, annuity and alternative products, and prudent investor standards
Proven Leadership of Compliance Programs
Strong Risk Identification and Mitigation Judgment
Influence and Partnership with Senior Leadership
Operational Excellence and Systems Oversight
Training, Ethics, and Culture Stewardship
Executive-Level Communication and Judgment
Management Experience
10+ years of broker dealer and investment adviser compliance experience
At time of hire: Series 7, Series 24, and Series 63/Series 65 or Series 66 Licenses required
Licenses required within six months of hire if not already held: Series 4, 14, and 53
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

Ownership of annual compliance reviews (including Rule 206(4)-7 and 3120 testing)
Oversight of monitoring and surveillance
Continuous evolution of policies and procedures to reflect regulatory and business changes
Leading risk assessments, identifying trends, proposing pragmatic remediation strategies, and balancing regulatory requirements with commercial realities
Diagnose emerging regulatory risks and implement proactive, technology-enabled oversight and testing mechanisms
Participation in governance committees and business meetings
Oversee the implementation, integration, and ongoing maintenance of compliance systems and controls, ensuring consistency across departments
Supervision of best-execution reviews, due diligence processes, branch examinations, marketing review, AML oversight, licensing and registration functions, and surveillance activities through delegated teams or functions
Ownership of compliance education and training programs
Administration of the Code of Ethics, and consistent reinforcement of ethical standards
Fostering a culture of compliance while maintaining discretion, professionalism, and confidentiality
Building, coaching and managing compliance staff
Partnering effectively across legal, risk, and business functions