Compliance Analyst - Urbandale Iowa

Company: Brokers International Financial Services
Location: Urbandale, Iowa
Posted On: 04/27/2024

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.Our Broker Dealer, Brokers Financial, is looking for a Compliance Analyst. The person in this position will work closely with team members in the Compliance Department to modify, implement, and supervise the compliance procedures and the overall supervisory structure of the Broker-Dealer and RIA. As such, the Compliance Analyst will be instrumental in helping to modify, implement and oversee the continuing education and representative training program; advertising, email and correspondence review; and anti-money laundering program enforcement. This position will assist and assure representatives are following the policies and procedures of Brokers Financial.Essential Job Functions

• Conduct ongoing supervision of RR's and IAR's. Determine necessary modifications to the supervisory structure and monitor and oversee the structure for the Firm.
• Develops and maintains an effective compliance training program, including appropriate introductory training for new employees and registered representatives as well as ongoing training.
• Conduct compliance audits of OSJ managers and direct reporting representatives and advisors. Determine any action items regarding individual audits.
• Analyze monthly compliance reports to determine if regulations and firm polices are met within set timing standards, including oversight reports.
• Help develop monitoring programs and exception reports to look for rule violations or potential sales practice issues.Knowledge, Skills and Abilities
  • Ability to demonstrate our Core Values
  • Excellent oral and written skills
  • Self-starter
  • Must be analytical and detail oriented.
  • Ability to identify, weigh and convey potential risks.
  • Ability to communicate effectively with all levels of management.
  • Maintains high standards of confidentiality of all information.
  • Ability to work independently and in a team environment.Experience and Education
    • Must possess strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.
    • Bachelor's degree (B.A.) from a four-year college or university and two - four years related experience and/or training; or equivalent combination of education and experience.
    • FINRA Series 7 and 24 required, Series 66/65 preferred, required within first 6 months of employment.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:Marketing & Biz Dev, Keywords:Regulatory Compliance Analyst, Location:Urbandale, IA-50322 More...

          

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