Director of Risk and Compliance - Gladstone Wealth Partners

About Gladstone Wealth Partners

Our mission to our clients is to provide a holistic approach to financial planning and a high level of service so they can prioritize and pursue their life-long financial goals. We foster professional relationships based on uncompromising integrity, trust and personalized service.

Job Summary

Step into the pivotal role of Director of Risk and Compliance at Integrity Wealth Registered Investment Adviser. Join a dynamic team that oversees multiple SEC-registered firms with a robust $5 billion in assets under management. As the driving force behind our compliance and risk management framework, you’ll work closely with the Chief Compliance Officer to shape the future of our regulatory landscape. You'll lead the charge in navigating regulatory examinations, internal audits, and interfacing with key governmental officials—all while enjoying the flexibility of a remote position.

Primary Responsibilities:

• Strategic Compliance Leadership: Partner with the CCO to oversee risk and compliance for our high-performing RIA entities.
• Policy Innovation: Design and refine cutting-edge policies and procedures in response to regulatory changes and evolving business needs.
• Comprehensive Policy Review: Conduct thorough annual reviews to ensure the effectiveness of our compliance framework as mandated by Rule 206(4)-7.
• Risk Analysis: Collaborate on annual risk assessments, identifying trends and crafting strategic remediation plans.
• Regulatory Mastery: Manage all facets of FINRA and IARD regulatory filings (Forms ADV, 13F, 13h, U-4, etc.).
• Regulatory Engagement: Assist the CCO in navigating regulatory inquiries, examinations, and internal audits.
• Ethics Administration: Oversee the Investment Adviser Code of Ethics in line with Rule 204A-1.
• Best Execution Analysis: Lead the annual review of best execution practices.
• Vendor Partnerships: Innovate with vendors to enhance compliance systems, addressing the firm’s evolving needs.
• System Integration: Spearhead the implementation and ongoing maintenance of compliance systems, ensuring seamless integration across departments.
• Due Diligence: Scrutinize due diligence documentation for vendors, custodians, product sponsors, and independent portfolio managers.
• Training & Development: Develop and deliver engaging training programs on regulatory and compliance issues for new and existing team members.
• Branch Oversight: Conduct thorough examinations of branch offices to ensure compliance standards are upheld.
• Documentation Excellence: Draft and update Form ADV 2B Brochure Supplements for our investment adviser representatives.

Primary Skills and Requirements:

• Have the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 4, 7, 24, 53, 63 and 65 (or Series 66).
• A strong understanding and working knowledge of the Investment Advisor’s Act of 1940.
• A strong knowledge of retail brokerage, annuity, and alternative products, as well as prudent investor standards.
• Excellent writing and communication skills.
• The ability to stay informed of the evolving regulatory and financial landscape.
• A strong understanding of the risks related to registered investment advisors and how those relate to and potentially impact the firm with the ability to analyze potential compliance challenges and develop actions plans to respond to them.
• Excellent judgment and time management.
• Ability to work in a time sensitive environment and make quick decisions.

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.