Description:

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 An Independent Distributor of Life and Health Insurance Products Company Wealth portfolio of companies (“An Independent Distributor of Life and Health Insurance Products Company An Independent Distributor of Life and Health Insurance Products Company”), 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 An Independent Distributor of Life and Health Insurance Products Company.

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