Integritymarketing
Trade Review Principal (Operations Compliance)
Des Moines, IA · Principal
Sponsorship not specifiedDetected 1 day ago
Process ImprovementCommunicationTime Management
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16Unrated
Cap-exempt (no lottery)0
Sponsors this role0
Entry-level history0
PERM / green-card track0
Lottery odds40
Fits your clock70
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About the role
- This position will have supervisory responsibility of Brokers International Financial Services, LLC registered representatives and investment advisory representatives.
- The Trade Review Principal (TRP) will need industry knowledge and operational experience related to suitability and trade review along with time management and organizational skills.
- Essential Job Functions, other duties assigned
Responsibilities
- Maintain product knowledge.
- We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily.
- Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide.
Requirements
- FINRA Series 7, 24, 65/66 required.
- Series 4 and 53 required within 6 months.
Skills
- Knowledge, Skills, and Abilities
- Exceptional written and verbal communication skills
Compensation
- Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Benefits
- Four year college or university program certificate; or equivalent combination of education and experience.
- Insurance and securities license(s) in state(s) of operation for life, health, and variable annuity may be required.
- Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products.
- to help people protect their life, health and wealth so they can prepare for the good days ahead.
Company info
- Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career.
- Reviewing brokerage and advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
- Notifying advisors when a transaction conflicts with a client's investment profile, a company policy, or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
- At Integrity, you can start a new career path at company you'll love, and we'll love you back.
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