Advisor, Finance & Banking, Financial Compliance

Commissions Advisor

Urbandale, IA – The Commission Advisor is responsible for the accurate processing, review, and reconciliation of broker and advisor commission data within a broker‑dealer environment. This role supports timely commission payouts by performing detailed data entry, reviewing commission holds, and ensuring compliance with firm policies, contractual terms, and regulatory requirements.

• Perform accurate and timely data entry of commission‑related information into internal systems, including trades, production data, adjustments, and corrections.
• Review and analyze commission holds, identifying the reason for holds and ensuring proper resolution in accordance with firm policies.
• Monitor commission reports to verify accuracy, completeness, and consistency across multiple systems.
• Investigate discrepancies, breaks, or exceptions related to commissions and escalatte issues as needed.
• Maintain detailed documentation supporting commission calculations, holds, and releases.
• Assist with the release of commissions once hold conditions are satisfied and approvals are obtained.
• Collaborate with Operations, Compliance, Sales, and Finance teams to resolve commission‑related inquiries.
• Ensure commission processing adheres to broker‑dealer policies, advisor compensation agreements, and regulatory requirements.
• Support internal and external audits by providing schedules, reports, and supporting documentation.
• Participate in periodic system testing, process improvements, and ad‑hoc commission‑related projects.

• Associate’s or bachelor’s degree in accounting, Finance, Business, or a related field, or at least 1 year of equivalent experience.
• Prior experience in commission processing, data entry, or financial operations preferred.
• Experience working in a broker‑dealer or financial services environment strongly preferred.
• High attention to detail with strong data accuracy and reconciliation skills.
• Ability to work with large volumes of transactional data.
• Proficiency in Microsoft Excel and commission or accounting systems.
• Strong organizational skills and ability to meet deadlines in a high‑volume environment.

• Understanding of broker‑dealer operations and advisor compensation structures.
• Familiarity with commission holds related to licensing, compliance, chargebacks, or regulatory requirements.
• Analytical mindset with the ability to identify trends and resolve discrepancies.
• Clear written and verbal communication skills.
• Ability to handle sensitive financial information with confidentiality.

Office environment with cross‑functional collaboration with Finance, Operations, and Compliance.

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.