Trade Review Principal — Compliance & Risk Lead

Integrity Marketing Group; Urbandale (IA); On-site; USD 90,000 - 120,000; Full time

Job summary

Integrity Marketing Group seeks a Trade Review Principal to supervise registered representatives and investment advisory representatives. You will review and approve transactions under suitability guidelines, across mutual funds, annuities, variable life, 529 plans, financial planning and advisory services.

You will train advisors, address regulatory concerns with the Compliance Department, and drive process improvements while maintaining strong product knowledge and regulatory discipline.

Qualifications

• 2-4 years of financial services experience.
• Four year college or university program certificate; or equivalent.
• FINRA Series 7, 24, 65/66 required; Series 4 and 53 required within 6 months.
• Insurance and securities license(s) in state(s) of operation may be required.
• Strong written and verbal communication skills.
• Knowledge of SEC, FINRA, MSRB, AML and state regulators.

Responsibilities

• Provide Principal review and approval of transactions following suitability guidelines and time frames.
• Review a variety of business types: mutual funds, annuities, variable life, 529 plans, financial planning, and advisory/brokerage transactions.
• Conduct ongoing customer account reviews to detect potential sales abuses.
• Provide education and training to representatives on regulatory requirements and internal processes.
• Notify advisors when transactions conflict with client profiles, policies, or regulations; assist with escalated issues.
• Collaborate with Compliance to address regulatory concerns and improper practices; develop process improvements.

Skills

Regulatory knowledge

Communication skills

Time management

Broker-dealer processes

Education

Bachelor's degree

Job description

Integrity Marketing Group seeks a Trade Review Principal to supervise registered representatives and investment advisory representatives. You will review and approve transactions under suitability guidelines, across mutual funds, annuities, variable life, 529 plans, financial planning and advisory services.

You will train advisors, address regulatory concerns with the Compliance Department, and drive process improvements while maintaining strong product knowledge and regulatory discipline.