Trade Review Principal – Compliance & Training Lead

Integrity; West Des Moines (IA); On-site; USD 70,000 - 110,000; Full time

Job summary

Integrity, LLC is seeking a Trade Review Principal to supervise registered representatives and investment advisory representatives in a role focused on suitability, regulatory compliance, and timely decision making. The TRP will review transactions across funds, annuities, life insurance, 529 plans, and advisory/brokerage activity.

The position requires 2–4 years in financial services, FINRA licenses (7/24/65/66; 4/53 within 6 months), and strong communication skills.

Qualifications

• 2-4 years of financial services experience.
• FINRA Series 7, 24, 65/66 licensing required.
• Series 4 and 53 required within 6 months.
• Strong supervisory and training capabilities.

Responsibilities

• Provide Principal review and approval of transactions within suitability guidelines and time frames.
• Review a variety of products: mutual funds, annuities, variable life insurance, 529 plans, advisory and brokerage transactions.
• Review brokerage and advisory accounts to ensure opening processes follow guidelines.
• Conduct ongoing customer account reviews to detect potential sales abuses.
• Maintain product knowledge and regulatory requirements; provide training to reps.
• Notify advisors when a transaction conflicts with client profiles, policies, or regulations; resolve escalated issues.
• Collaborate with Compliance to address regulatory concerns or improper practices.
• Develop process improvements to enhance department workflow.

Skills

Broker-dealer knowledge

Regulatory knowledge

Supervisory experience

Effective communication

Time management

Education

Bachelor's degree

Job description

Integrity, LLC is seeking a Trade Review Principal to supervise registered representatives and investment advisory representatives in a role focused on suitability, regulatory compliance, and timely decision making. The TRP will review transactions across funds, annuities, life insurance, 529 plans, and advisory/brokerage activity.

The position requires 2–4 years in financial services, FINRA licenses (7/24/65/66; 4/53 within 6 months), and strong communication skills.