Trade Review Principal (Compliance & Training)

Integrity

Urbandale (IA)

On-site

USD 80,000 - 110,000

Full time

14 days+

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Job summary

Integrity, LLC in Urbandale, IA seeks a Trade Review Principal to supervise brokers and investment advisory representatives. You will review and approve transactions within strict suitability guidelines and assist with regulatory compliance.

The role requires substantial broker-dealer and RIA knowledge, with Series 7/24/65/66 licensing and related state licenses. Up to 10% travel may be involved.

Qualifications

Experience in financial services (2-4 years).
Must understand SEC, FINRA, MSRB, AML and state regulators.
Four-year college or university program certificate or equivalent.
Licensing: Series 7, 24, 65/66 required; Series 4 and 53 within 6 months; state licenses may be required.

Responsibilities

Provide Principal review and approval of transactions within suitability guidelines.
Review brokerage and advisory accounts to ensure compliant opening processes.
Conduct ongoing customer account reviews to detect sales abuses.
Educate and train representatives on regulatory requirements and internal procedures.
Notify advisors when a transaction conflicts with client profiles or policies.
Collaborate with Compliance to address regulatory concerns.
Develop process improvements to enhance workflow.

Skills

Broker-dealer knowledge

RIA processes

Regulatory knowledge (SEC/FINRA/MSRB)

Communication skills

Time management

Core values adherence

Education

Four-year college degree/certificate

Tools

FINRA licenses (Series 7/24/65/66)

Insurance and securities licenses

Job description

The role requires substantial broker-dealer and RIA knowledge, with Series 7/24/65/66 licensing and related state licenses. Up to 10% travel may be involved.

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