Chief Compliance Officer, Integrity Wealth

Job description

About Integrity: A leading, fast-growing national platform in the insurance, wealth, and retirement services sector is seeking a senior regulatory and compliance executive to lead the regulatory compliance and enterprise risk functions for its multi-entity, expanding wealth management business. This executive will join the leadership team of a diversified portfolio of wealth-focused companies managing more than $50 billion in assets in order to grow the platform to over $100 billion in assets and eventually $500 billion or more. Job summary: This role will be central to building and overseeing a comprehensive compliance and risk framework across multiple regulated entities. In this highly visible leadership role, the executive will drive compliance oversight, guide regulatory and risk strategy; interface directly with regulators; oversee examinations and filings; identify and lead risk mitigation initiatives; oversee all required regulatory filings; and partner closely with business leaders to ensure practices remain aligned with business strategy and evolving federal and state laws, SEC and FINRA requirements, and industry standards. The ideal candidate brings deep experience with...