Trade Review Principal (Operations Compliance)
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Overview
Job Description
The Role
This position will have supervisory responsibility of Brokers International Financial Services, LLC registered representatives and investment advisory representatives. The Trade Review Principal (TRP) will need industry knowledge and operational experience related to suitability and trade review along with time management and organizational skills.
Essential Job Functions, other duties assigned
Provide Principal review and approval of transactions while working within firm's established suitability guidelines and time frames.
Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments (REITs and DPPs), advisory and brokerage transactions.
Reviewing brokerage and advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
Conduct ongoing customer account reviews to detect potential sales abuses.
Maintain product knowledge.
Provide education and training to representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
Notifying advisors when a transaction conflicts with a client's investment profile, a company policy, or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
Developing process improvement recommendations to enhance department workflow.
Knowledge, Skills, and Abilities
Must display Core Values
Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes.
Thorough understanding of rules, regulations and legal requirements of the SEC, FINRA, MSRB, AML and state securities regulators.
Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning, and securities.
Strong conceptual skills with an ability to deliver big ideas that drive results
Exceptional written and verbal communication skills
Experience and Education
Experience:
2-4 years of prior financial services experience
Education:
Four year college or university program certificate; or equivalent combination of education and experience.
Licensing:
FINRA Series 7, 24, 65/66 required. Series 4 and 53 required within 6 months. Insurance and securities license(s) in state(s) of operation for life, health, and variable annuity may be required.
Physical Requirements
Office Position
Travel
Up to 10%
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.
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.
