Sales Supervisor at Integrity Marketing Group — BRI - Urbandale, IA

We are seeking a Sales Supervision professional responsible for overseeing the activities of registered representatives and investment adviser representatives, while serving as a key home office point of contact. This role offers the opportunity to contribute to a growing firm with experienced leadership and a collaborative, cross-functional operating model within the financial services industry. The following are the primary responsibilities for this role based in Urbandale, IA:

• Responsible for the review of written and electronic correspondence
• Review and approval of outside business activities, private securities transactions, political contributions, and personal securities accounts.
• Monitor policies and procedures for compliance with relevant regulations and industry best practices
• Assist with Investment Advisor and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120
• Assist with the development and administration of compliance training and education materials for financial professionals
• Assist with the administration of and conduct marketing material reviews in accordance with Firm and regulatory guidelines.
• Monitor and review trading activity representatives outside brokerage accounts
• Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints, and state inquiries
• Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
• Assist with drafting of Firm communications related to individual compliance related topics
• Assist internal exam staff members with the administration of branch examinations
• The ability to manage daily tasks along with the ability to contribute or lead periodic projects

Desired Skills And Experience

The ideal candidate will have 2+ years of experience in a FINRA- and SEC-regulated broker-dealer and/or RIA environment and hold or be able to obtain relevant licenses (e.g., Series 7, 24, 66, or equivalent, as required).

• Committed to creating a professional environment that places a high value on accountability, and teamwork
• Excellent interpersonal communication skills, both written and verbal
• Strong organizational skills with ability to prioritize activities
• Maintain a strong client focus and the desire to build relationships during each interaction
• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
• Capable of handling multiple tasks and responsibilities
• Ability to work independently and take initiative while being part of a team
• Proven work ethic with a high level of integrity to build trust with our clients and colleagues
• Excited about joining an experienced team and contributing to the direction and growth of the company
• Experience with Pershing, Schwab and Fidelity’s platforms preferred
• Familiarity with variable annuity and variable life products helpful
• Minimal travel may be required
• Ability to navigate and manage challenging decisions and conversations
• Desire to increase individual compliance and regulatory knowledge

About Integrity