Legal Officer of Regulatory Compliance & Wealth Management

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their health and wealth so they can be ready for the good days ahead.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit.

About Integrity

Integrity, headquartered in Dallas, Texas, is a leading distributor of life and health insurance, and provider of innovative solutions for wealth management and retirement planning. Through its broad partner network of agents and advisors, Integrity helps millions of Americans protect their life, health and wealth with a commitment to meet them wherever they are — in person, over the phone and online. Integrity’s proprietary, cutting-edge technology helps expand the insurance and financial planning experience for all stakeholders using an omnichannel approach. Providing best-in-class service to our clients and consumers is at the center of Integrity’s holistic approach to life, health and wealth protection. The company and its partners focus on helping families and individuals prepare for the good days ahead, so they can make the most of what life brings.

Integrity Wealth™ is Integrity’s family of wealth management and retirement planning companies.  With over $40 billion in assets under management and growing, Integrity Wealth through its registered investment advisers, broker-dealers, retirement planning and advisory companies provides cutting edge technology, services, and multi-custodial platform solutions to financial advisors and planners, brokers, wealth managers, and registered representatives so they can more effectively manage their clients’ assets.

Position Summary

We are looking for a Legal Officer of Regulatory Compliance & Wealth Management. The Legal Officer will be a member of the executive management team and Chief Compliance Officer for the Integrity Wealth portfolio of companies (“Integrity Wealth”), and will manage regulatory compliance, align legal and compliance strategies to company-wide objectives, suggest innovative business solutions, mitigate risk, and ensure legal efficiency for Integrity Wealth.

This individual will be a seasoned leader and own corporate legal strategy, regulatory compliance oversight, and legal matter management for Integrity Wealth, focusing on managing legal and compliance matters in collaboration with the parent company’s legal team and the Integrity Wealth business executives. This will include oversight of Integrity Wealth audits and compliance related matters and reporting and interfacing with governmental agency officials as necessary. It will also include ownership of strategic compliance policies and programs, and management of the Integrity Wealth portfolio company Chief Compliance Officers.

This person will be responsible for compliance at Integrity Wealth with all applicable federal and state laws, including those of the Securities and Exchange Commission (“SEC”), relating to state securities, as well as the requirements of any self-regulatory organizations including FINRA.

Therefore, experience with a Broker Dealer and Registered Investment Advisor is required including in the areas of compliance, investment products, as well as practices and procedures in the securities industry from a best practices perspective.

Primary Responsibilities

• Serve as the primary legal advisor to the Integrity Wealth organization, providing sound and timely counsel on a broad range of legal issues
• Proactively identify, assess, and manage legal risks facing the organization, and develop strategies to mitigate and resolve such risks
• Manage litigation and other disputes involving the organization, including coordinating with inside and outside counsel as necessary
• Oversee the overall compliance program for Integrity Wealth
• Ensure compliance by the Integrity Wealth companies with SEC regulations, FINRA requirements, state laws and regulations and other federal statutes
• Stay advised regarding relevant compliance risks and provide regular reporting on them to executive management
• Ensure Integrity Wealth companies maintain policies and procedures and oversee subsidiary compliance officers
• Manage day-to-day compliance risk strategy for Integrity Wealth
• Assess and mitigate risks for Integrity Wealth
• Advise the business regarding evolving regulatory requirements and industry changes
• Leverage technology platforms for compliance oversight and to monitor, evaluate and test for compliance with applicable rules, regulations, and policies
• Recommend workable action plans to identify and correct material compliance weaknesses
• Coordinate and manage compliance officers in connection with examinations of Integrity Wealth companies
• Respond to compliance inquiries and requests including from regulatory authorities

Required Competencies

• Thorough knowledge of regulatory requirements and governance for broker-dealers and registered investment advisors, including with respect to securities laws and regulations and the Municipal Securities Rulemaking Board
• A strong understanding and working knowledge of FINRA Rules
• A strong understanding and working knowledge of the Investment Advisor’s Act of 1940
• A strong knowledge of retail brokerage, annuity, and alternative products, as well as prudent investor standards
• Leadership, excellent writing and communication skills and the ability to identify, initiate and conclude strategic objectives in a collaborative, team-based “no ego” environment
• The ability to stay abreast of the evolving regulatory and financial landscape
• A strong understanding of the risks related to broker-dealer and registered investment advisors and how those relate to and potentially impact the firm with the ability to analyze potential compliance challenges and develop actions plans to respond to them
• Strong knowledge and experience with current tools and technology used by broker-dealers and registered investment advisors
• A strong knowledge regarding trading, execution and allocations
• A strong understanding of the due diligence activities involved in trading and third-party vendor selection
• Ability to establish working relationships with individuals and teams both inside and outside the organization
• Ability to train others and transfer knowledge to others
• Ability to think and work at both strategic and tactical levels as required
• Orientation towards process improvement
• Effective communicator and can explain the organization’s vision and motivate others with strong, honest leadership

Education and Experience

• Juris Doctorate (JD) from an accredited U.S. law school
• Bachelor’s business degree, preferably in Finance, Economics or Accounting
• Minimum of 10 years of experience as a CCO in financial services, with at least the most recent 5 years of work history at a broker-dealer and registered investment advisor
• Series 4, 7, 14, 24, 53, 63, and 65 or Series 66
• 3+ years of compliance leadership with people management
• Certified Regulatory Compliance Manager (CRCM) preferred, other compliance certifications desirable
• No less than 5 years of experience as a practicing attorney in good standing with no record of ethical violations

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily.

Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Integrity Marketing Group, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity Marketing Group, LLC will provide reasonable accommodations for qualified individuals with disabilities 

PandoLogic. Category:Legal, Keywords:Legal Officer, Location:Dallas, TX-75254