Brokers International
Location
Urbandale, IA | United States
Job description
The Compliance Director will work directly with the Chief Compliance Officer (CCO)/ Chief Operating Officer (COO) and will manage and oversee compliance related functions for Brokers International Financial Services, LLC. The Director will direct programs, policies, and practices to ensure that all business units are in compliance with rules and regulations and tracks changes in regulations that might affect the organization’s policies and implements necessary changes.
Essential Job Functions, other duties assigned
Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program
Perform audits of OSJ offices and individual registered representatives and investment adviser representatives.
Responds to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations
Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution or problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
Institutes and maintains an effective compliance communication program for the organization, including promoting the understanding of new and existing compliance issues and related policies and procedures.
Oversees the development of an effective compliance training program, including appropriate introductory training for new employees and registered representatives as well as ongoing training.
Help develop monitoring programs and exception reports to look for rule violations or potential sales practice issues.
Experience and Education
Prior Broker Dealer and RIA experience preferred. Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning and securities a plus.
Four-year college or university program certificate and six to eight years related experience and/or training; or equivalent combination of education and experience.
FINRA Series 7 and 24 required, Series 66, Series 65, Series 53, and Series 4 preferred or required within 6 months; Insurance and state securities license(s) in state(s) of operation for life, health, and variable annuity may be required.
Employee Benefits
Brokers International offers a comprehensive benefits package including PTO, paid holidays, medical, dental, retirement plan, Employee Ownership Program, employer paid short term disability, and more. We believe in a flexible work environment and have a hybrid work model for most positions. We also reward our employees’ hard work with profitability bonuses, a casual dress code, adjustable sit / stand desks, and free snacks, fruit and coffee. As an added bonus, we close every Friday at 3 p.m.
Our Culture
At Brokers International, our thriving, positive workplace culture helps drive our workforce and encourages overall employee wellbeing. We strive for an environment of inclusion while celebrating the individual creative differences embodied by all of our employees. If you want to be part of an innovative team dedicated to helping financial professionals build stronger businesses through tailored product sales, marketing, compliance and operational support, look no further.
About Integrity
Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products with a data and technology focus. We are an omnichannel insurtech company innovating insurance with a singular purpose: to help people protect their life, health and wealth so they can make the most of what life brings. Headquartered in Dallas, Texas, Integrity is committed to making insurance simpler and more human, so everyone can plan for the good days ahead. Integrity’s 5,500 employees currently support over 420,000 independent agents who serve the needs of more than 2.2 million clients annually. For more information, visit www.integritymarketing.com.
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