Director, Compliance

The Director, Compliance working under the direction of the Chief Compliance Officer, supports the design, implementation, and ongoing oversight of the firm’s compliance and supervision program for Integrity Alliance and Integrity Advisory Solutions. This role partners closely with leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervision across the organization, and support business activities conducted with financial professionals.

The Director, Compliance plays a key role in advising the business on compliance considerations specific to a retail environment and helps ensure the firm’s supervisory framework remains effective, risk-based, and aligned with regulatory expectations. This individual is a strategic partner to the business – someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset.

Key Responsibilities

• Support the administration and continuous enhancement of the firm’s compliance program through the development, implementation, and maintenance of risk assessments, written supervisory procedures (WSPs), and compliance testing
• Perform advertising review in accordance with applicable regulatory standards
• Coordinate responses to regulatory inquiries and assist in communications with regulators
• Support the compilation and preparation of regulatory filings including all parts of