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Principal Review Analyst
Job in
Concord, Merrimack County, New Hampshire, 03306, USA
Listed on 2026-07-12
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-12
Job specializations:
-
Finance & Banking
Wealth Management
Job Description & How to Apply Below
Responsibilities
- Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts
- Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
- Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform
- Coordinates initial and annual account review for both TDPCW and Reg-9 reviews for TDBNA
- Assists with various production requests, including those internal and externally requested through regulatory exams and requests
- Assists in the maintenance of the department's written supervisory and desktop procedures
- Provides dashboard reporting to highlight activities performed by the department
- Partners with the Operations team to enhance workflows and processes to improve overall controls or increase efficiencies
- College degree or equivalent experience required
- 5+ years of Brokerage industry experience
- FINRA Series 7 Required
- FINRA Series 24 Required (or FINRA Series 9/10)
- State Life & Health Insurance License (Required or ability to obtain within scheduled time)
- FINRA Series 65 or 66 (Preferred)
- FINRA Series 63 (Preferred)
- Experience in trade platform systems preferred
- Ability to communicate effectively with all levels of staff and management
- Ability to prioritize and multi-task with a high degree of accuracy
- Ability to solve problems in a fast paced & ever-changing regulatory environment
- Effective organization, time management, and follow up of work
- Ability to obtain additional licensing, as required
- trade reviews
- brokerage transactions
- annuity purchases
- regulatory compliance
- dashboard reporting
- workflow enhancement
- process improvement
- supervisory procedures
- desktop procedures
- effective communication
- prioritization
- multi-tasking
- problem-solving
- organization
- time management
- follow-up
- FINRA Series 7
- FINRA Series 24
- FINRA Series 9
- FINRA Series 10
- State Life & Health Insurance License
- FINRA Series 65
- FINRA Series 66
- FINRA Series 63
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