Trade Review Principal Lead

Urbandale, IA - USA

Monthly Salary: Not Disclosed

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

Trade Review Principal Lead

Brokers International Financial Services

Urbandale IA

About Brokers International Financial Services

Brokers International an Integrity company is a family business with a rich history of helping Americans find the coverage they deserve. Headquartered in Urbandale Iowa this brokerage safely handles annuities life insurance investments and a variety of other services.

Job Summary

This position will have supervisory responsibility of Integrity Alliance registered representatives and investment advisory representatives. The Trade Review Principal (TRP) will need extensive industry knowledge and operational experience related to suitability and trade review along with time management and organizational skills. With the help of additional Operations Leadership will serve as oversight for Trade Review team ensuring prompt response and proper handling. Serve as an escalation resource expediting delegating and facilitating additional work items to completion.

In this role you will:

Provide Principal review and approval of transactions while working within firms established suitability guidelines and time frames. Provide Principal review and approval on variety of business types: mutual funds annuities variable life insurance 529 plans financial planning alternative investments (REITs and DPPs) advisory and brokerage transactions.
Reviewing brokerage and advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
Conduct customer account reviews to detect potential sales abuses.
Maintain product knowledge
Provide education and training to representatives concerning regulatory corporate and legal requirements general product offerings licensing issues as well as internal processes & procedures.
Notifying advisors when a transaction conflicts with a clients investment profile a company policy or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
Developing process improvement recommendations to enhance department workflow.
Perform other duties as assigned to support the needs of the team.

Desired Qualifications:

Bachelors degree (BA/BS) from 4-year college or university or two to four years related experience and/or training; or equivalent combination of education and experience.
3 years of prior financial services experience is required
1 year of Trade Review Principal experience is required
1 year of leadership or management experience is preferred
FINRA Series 6/7 and 24/26 are required. Series 4 53 and 65/66 required within 6 months. Insurance and securities license(s) in state(s) of operation for life health and variable annuity may be required.

Benefits Available

Medical/Dental/Vision Insurance
401(k) Retirement Plan
Paid Holidays
PTO
Community Service PTO
FSA/HSA
Life Insurance
Short-Term and Long-Term Disability

About Integrity

Integrity is one of the nations leading independent distributors of life health and wealth insurance products. With a strong insurtech focus we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why Because we put our people first! At Integrity you can start a new career path at company youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas Texas Integrity is committed to meeting Americans wherever they are in person over the phone or online. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit .

Integrity LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex gender identity national origin disability veteran status or any other characteristic protected by federal state or local addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.

Required Experience:

Staff IC

Trade Review Principal LeadBrokers International Financial Services Urbandale IAAbout Brokers International Financial Services Brokers International an Integrity company is a family business with a rich history of helping Americans find the coverage they deserve. Headquartered in Urbandale Iowa this...