Principal Review Analyst

Jobtailor

Marlton (NJ)

On-site

USD 90,000 - 130,000

Full time

14 days+

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Job summary

Jobtailor in Marlton, NJ seeks an experienced broker/dealer compliance professional to ensure FINRA and SEC adherence. You will review new accounts, approvals for trades, and managed-account documentation, while coordinating annual reviews and regulatory requests.

The role requires 5+ years in brokerage, FINRA licenses (7, 24, 63/65 preferred), and a life/health license. Strong MS Office and trading platform skills, plus multitasking and problem-solving in a fast-paced environment are essential.

Qualifications

5+ years of Brokerage industry experience.
FINRA Series 7 Required.
FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time).
State Life & Health Insurance License (Required or ability to obtain within scheduled time).
FINRA Series 65 or 66 (Preferred)
FINRA Series 63 (Preferred)
Computer skills: MS Office + trade platform systems experience preferred.
Ability to communicate effectively with all levels of staff and management.
Ability to prioritize and multi-task with a high degree of accuracy.
Ability to solve problems in a fast-paced regulatory environment.
Effective organization, time management, and follow up of work.
Ability to obtain additional licensing, as required.

Responsibilities

Reviews and approves new account documentation to ensure adherence to FINRA and SEC rules.
Performs primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases.
Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform.
Coordinates initial and annual account review.
Assists with various production requests, including those internal and externally requested through regulatory exams.
Maintains the department's written supervisory and desktop procedures.
Provides dashboard reporting to highlight activities performed by the department.

Skills

trade reviews

brokerage transactions

annuity purchases

dashboard reporting

regulatory compliance

Education

College degree or equivalent experience

Tools

MS Office

Trade platform systems

Job description

Responsibilities

Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules
Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform
Coordinates initial and annual account review
Assists with various production requests, including those internal and externally requested through regulatory exams
Maintains the department's written supervisory and desktop procedures
Provides dashboard reporting to highlight activities performed by the department

Requirements

College degree or equivalent experience required
5+ years of Brokerage industry experience
FINRA Series 7 Required
FINRA Series 24 Required (or FINRA Series 9/10) (Required or ability to obtain within scheduled time)
State Life & Health Insurance License (Required or ability to obtain within scheduled time)
FINRA Series 65 or 66 (Preferred)
FINRA Series 63 (Preferred)
Computer skills: In addition to MS Office software, experience in trade platform systems preferred
Ability to communicate effectively with all levels of staff and management
Ability to prioritize and multi-task with a high degree of accuracy
Ability to solve problems in a fast paced & ever-changing regulatory environment
Effective organization, time management, and follow up of work
Ability to obtain additional licensing, as required