Not specified; not specified; competitive compensa...
Not specified
Principal review and approval of transactions
Conduct customer account reviews for sales abuses
Maintain extensive product knowledge across insurance and securities
D&D Insurance Agency Inc is seeking a Trade Review Principal responsible for overseeing registered representatives and ensuring compliance with suitability and trade review standards. The ideal candidate will have substantial financial services experience, relevant licenses, and strong organizational skills
Job Summary
The Trade Review Principal provides supervisory responsibility for registered representatives and ensures all transactions meet firm suitability guidelines.
This role requires reviewing a variety of business types including mutual funds, annuities, variable life insurance, and alternative investments to detect potential sales abuses.
Integrity offers a competitive compensation package and a family-like culture focused on protecting people's life, health, and wealth.
Matching Summary
Match Score: 85
D&D Insurance Agency Inc is seeking a Trade Review Principal responsible for overseeing registered representatives and ensuring compliance with suitability and trade review standards. The ideal candidate will have substantial financial services experience, relevant licenses, and strong organizational skills.
Salary
Not specified; Not specified; Competitive compensation package including benefits
Skills & Requirements
Must-have
Principal review and approval of transactions
Conduct customer account reviews for sales abuses
Maintain extensive product knowledge across insurance and securities
Nice-to-have
Developing process improvement recommendations
Working in a hyper-growth company environment
Strong time management and organizational skills
Key Requirements
Bachelor's degree or 2-4 years related experience
4-6 years in financial services with trade review exposure