What are the responsibilities and job description for the Deputy Chief Compliance Officer position at Integrity Marketing Shared Services Center?
The Deputy Chief Compliance Officer, working under the direction of the Chief Compliance Officer, supports the design, implementation, and ongoing oversight of the firm’s compliance program within a wholesale broker dealer model. This role partners closely with senior leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervisory processes across the organization, and support business activities conducted with registered financial professionals and institutional intermediaries.
The Deputy CCO plays a key role in advising the business on compliance considerations specific to a wholesale environment, including maintaining boundaries between wholesale and retail activities, and helps ensure the firm’s supervisory framework remains effective, risk-focused, and aligned with regulatory expectations. This individual is a strategic partner to the business – someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset. The ideal candidate brings a steady presence, remains calm under pressure, and is able to guide the firm through evolving regulatory and business demands while protecting the integrity of the organization.
Key Responsibilities:
- Support the administration and continuous enhancement of the firm’s compliance program
- Assist in the development, implementation, and maintenance of written supervisory procedures (WSPs)
- Provide guidance to business partners on regulatory requirements, with a focus on wholesale distribution activities
- Help monitor and enforce appropriate wholesale boundaries to mitigate retail-related regulatory risk
- Participate in compliance testing, monitoring, and internal reviews
- Oversee or support sales and advertising review in accordance with applicable regulatory standards
- Coordinate responses to regulatory inquiries and assist in communications with regulators
- Support regulatory filings, including applicable FINRA forms and disclosures
- Assist in the coordination and management of regulatory examinations and audits
- Oversee licensing and registration processes for registered representatives
- Assist in supervising and developing members of the compliance team
- Lead or participate in enterprise-wide initiatives and cross-functional projects
- Take ownership of large, complex projects and drive execution from planning through completion
- Support training and communication initiatives to reinforce a culture of compliance
- Monitor regulatory developments (federal, state and SRO regulations) and assist in evaluating and implementing updates impacting the firm and its business
Job Requirements:
- Active FINRA registrations:
- SIE and either Series 6 or 7 required
- Series 14 required (or ability to obtain within 6 months of hire)
- Either Series 26 or 24 required (or ability to obtain within 6 months of hire)
- Life and Annuity Insurance license preferred
- Minimum 3 years’ experience within a broker dealer compliance program; wholesale or distribution-focused experience preferred
- Demonstrated ability to influence change and partner effectively with business leaders
- Proven ability to organize, prioritize, and execute on large-scale projects
- Passion for building and enhancing a culture of compliance
- Proven ability to remain composed under pressure and navigate complex, fast-moving situations
- Solutions-oriented mindset with the ability to balance business objectives and regulatory requirements (not a “no-first” approach)
- Strong understanding of broker dealer and agency regulatory frameworks and supervisory practices
- Excellent judgement, communication, presentation, and analytical skills
- Strong communication, presentation, and analytical skills – proficient in Microsoft products
- Organized with the ability to handle multiple tasks and multiple priorities simultaneously
- Ability to work independently and communicate results
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.