More jobs:
Compliance Supervisor, Broker-Dealer & Advisers
Job in
Urbandale, Polk County, Iowa, 50322, USA
Listed on 2026-08-25
Listing for:
Insurance Administrative Solutions, L.l.c.
Full Time
position Listed on 2026-08-25
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Integrity, LLC seeks a Compliance Analyst - Supervision in Urbandale, IA to supervise registered representatives and investment adviser representatives. The role involves reviewing activities, maintaining procedures, and supporting testing and training efforts for regulatory compliance.
The candidate will monitor high-risk activities, prepare supervision reports for the CCO, and assist with policy updates and regulatory changes. A strong compliance background and FINRA licenses are required.
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