Legal Officer Of Regulatory Compliance & Wealth Management

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, enterprise risk management, align regulatory, compliance and risk mitigation 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 with experience in building out an effective framework for robust risk and regulatory compliance oversight. The individual will own the legal strategy, regulatory compliance oversight, and any litigation or regulatory settlement matters for Integrity Wealth, focusing on managing legal, risk and compliance matters in collaboration with the parent company's legal team and the Integrity Wealth business executives. This will include oversight over any regulatory or internal audits at Integrity Wealth, ongoing and required regulatory filings, compliance related matters and reporting and interfacing with governmental agency officials as necessary. and the individual will manage the Chief Compliance Officers of the various Integrity Wealth business units and work collaboratively with them to create and enforce a robust regulatory, compliance and risk systems, processes and procedures.

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 Chief Compliance Officer of Integrity Wealth, managing the risk and compliance elements across the entire Integrity Wealth enterprise, and managing and cooperating with the individual compliance officers at each registered entity to do so at each Integrity Wealth business unit.

• Build up an effective and robust compliance and enterprise risk management function for Integrity Wealth and ensure that systems, processes and procedures are in place to proactively identify, assess, and manage legal risks facing the organization Serve as the primary legal advisor to the Integrity Wealth organization, providing sound and timely counsel on a broad range of legal issues.

• Manage litigation and other disputes involving the organization, including coordinating with inside and outside counsel as necessary.

• Build up and lead a team of Compliance, Risk and Legal Professionals, including the existing Compliance Officers, to effectively support the Integrity Wealth business.

• Be a team player, and effectively lead and partner with all of the Integrity Wealth business leaders, compliance officers, and members of the parent company's legal team.

• Oversee the overall compliance program for Integrity Wealth and manage all regulatory filings in connection with the individual compliance officers.

• 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.

• 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.

• Have the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 4, 7, 14, 24, 53, 63 and 65 (or Series 66).

• 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.

About Integrity

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 life, health and wealth so they can prepare for the good days ahead.

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.

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 Integrity.com.

Integrity, 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, LLC will provide reasonable accommodations for qualified individuals with disabilities.