Principal Review Specialist

563

Cincinnati, Ohio, US
Base: $54,400.00 - $111,500.00 usd annual; bonus/e...
Series 7 series 63 and 24 licenses required
Review variable insurance products and annuities
Assess suitability of securities transactions
This role is responsible for approving or rejecting business processes including rollovers and securities transactions to ensure regulatory conformance

Job Summary

  • This role is responsible for approving or rejecting business processes including rollovers and securities transactions to ensure regulatory conformance.
  • The position requires extensive knowledge of investment products such as annuities, stocks, ETFs, mutual funds, and options.
  • Employees are eligible for an incentive compensation plan based on company, line of business, and individual performance.

Matching Summary

This role is responsible for approving or rejecting business processes including rollovers and securities transactions to ensure regulatory conformance.

Salary

Base: $54,400.00 - $111,500.00 USD Annual; Bonus/Equity: Eligible for incentive compensation plan; Benefits: Comprehensive benefits including physical, financial, emotional and social well-being support

Skills & Requirements

Must-have

  • Series 7 Series 63 and 24 licenses required
  • Review variable insurance products and annuities
  • Assess suitability of securities transactions

Nice-to-have

  • Experience with National Financial Services systems
  • Knowledge of FIS Protegent Prosurv systems
  • Strong communication and collaboration skills

Key Requirements

  • High school diploma required; Bachelor's preferred in Finance or Economics
  • Minimum 2 years of brokerage or related work experience
  • Must obtain Series 7, 63, and 24 licenses
  • Knowledge of FINRA, SEC, MSRB, and State Securities rules

Work Rights

Not specified

Tailored Resume

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