Trade Review Principal Lead

Brokers International Financial Services

Urbandale, IA, United States
Suitability guidelines and time frames
Financial planning and alternative investments
Customer account reviews
This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives, serving as oversight for the Trade Review team

Job Summary

  • This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives, serving as oversight for the Trade Review team.
  • Provide Principal review and approval on a variety of business types including mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments, advisory and brokerage transactions.
  • Integrity offers 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, serving as oversight for the Trade Review team.

Skills & Requirements

Must-have

  • Suitability guidelines and time frames
  • Financial planning and alternative investments
  • Customer account reviews
  • Regulatory and legal requirements
  • Process improvement recommendations

Nice-to-have

  • Family-like environment
  • Rewarding and cutting edge
  • 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