Regulatory Manager

Role Summary

Integrity Alliance is a dual‑registrant FINRA member broker‑dealer and SEC-registered investment adviser with a multi‑state footprint. The Regulatory Manager will own day-to-day execution of our regulatory program across the BD and RIA, including state registrations and licensing, FINRA/SEC/State exams, customer complaints, and regulatory filings. This role is ideal for a pragmatic compliance professional who can translate regulatory expectations into practical controls, maintain exam‑ready books and records, and drive timely, auditable outcomes.

Key Responsibilities

1) Exams & Regulatory Engagement (FINRA, SEC, States)

• Lead end‑to‑end management of FINRA, SEC, and State examinations and inquiries, from readiness assessments and document production to interviews and close‑out.
• Work closely with the CCOs and assist in drafting and managing responses to exam requests, deficiency letters, and remediation plans; track commitments to verified closure with evidence.
• Maintain an exam readiness program (mock exams, artifacts library, controls testing, response playbooks).

2) State Registration & Licensing Administration

• Work with the licensing and registration department to ensure firm and individual registrations via CRD/IARD (Form BD, Form ADV, U4/U5, BR), including jurisdiction changes, branch registrations, notice filings, and annual renewals.
• Assist with the management of Continuing Education (Firm Element & Regulatory Element), exam windows, disclosure updates, fingerprinting, and state-specific requirements.
• Assist CCOs in keeping the WSPs, Compliance Manual, and Code of Ethics current to reflect state variances and new/updated rules.

3) Customer Complaints & Regulatory Reporting

• Own the lifecycle for customer complaints across BD and RIA channels: intake, triage, investigation, resolution, and root cause analysis.
• Ensure timely regulatory reporting by working with the licensing and registration department (e.g., FINRA Rule 4530 events and complaints, state notifications, U4/U5 updates), by working with the licensing and registration department
• Coordinate client communications and restitution where applicable; maintain complete books & records and regular management reporting.

4) Regulatory Filings & Periodic Disclosures

• Prepare and file:
  • Form ADV (annual amendment & interim updates), Form CRS
  • Form BD and amendments
  • FINRA Rule 4530 reports; OBA/Private Securities Transactions oversight and reporting
  • State-mandated submissions (e.g., financials, custody attestations, policies acknowledgments as applicable)
  • Support AML independent test documentation and related certifications
• Maintain an integrated compliance calendar with owners, deadlines, and evidencing requirements.

5) Program Governance, Testing & Certifications

• Lead annual reviews: SEC Rule 206(4)-7 (RIA) and FINRA 3120/3130 (BD), including risk assessment, control testing, effectiveness reviews, and CEO/CCO certifications.
• Monitor and operationalize requirements across Reg BI, Form CRS, Marketing Rule (206(4)-1), Books & Records (17a‑4; 204‑2), Privacy (Reg S‑P), Gifts & Entertainment, Outside Business Activities, Personal Trading, Best Execution, and Custody (if applicable).
• Develop and maintain metrics/KRIs and dashboarding for leadership (e.g., filing timeliness, complaint cycle times, marketing exceptions, surveillance alerts).

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

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.