Trade Review Principal Lead

Brokers International Financial Services

Urbandale, IA, United States
Suitability and trade review expertise
Operational experience
Supervisory responsibility
This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives

Job Summary

  • This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives.
  • Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames.
  • Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Matching Summary

This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives.

Skills & Requirements

Must-have

  • Suitability and trade review expertise
  • Operational experience
  • Supervisory responsibility
  • Escalation resource
  • Regulatory compliance

Nice-to-have

  • Family business culture
  • Rewarding and cutting edge career
  • Hyper-growth company

Key Requirements

  • 3+ years financial services experience
  • 1 year Trade Review Principal experience
  • FINRA Series 6/7 and 24/26 required
  • Series 4, 53, and 65/66 required within 6 months
  • Bachelor's degree or equivalent experience

Work Rights

Not specified

Tailored Resume

Cover Letter