Principal Review Analyst

Responsibilities

• Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules
• 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
• Assists with various production requests, including those internal and externally requested through regulatory exams
• Maintains the department's written supervisory and desktop procedures
• Provides dashboard reporting to highlight activities performed by the department

• 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) (Required or ability to obtain within scheduled time)
• State Life & Health Insurance License (Required or ability to obtain within scheduled time)
• FINRA Series 65 or 66 (Preferred)
• FINRA Series 63 (Preferred)
• Computer skills:
  In addition to MS Office software, 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
• dashboard reporting
• regulatory compliance

• communication
• prioritization
• multi-tasking
• problem-solving
• organization
• time management

• FINRA Series 7
• FINRA Series 24
• State Life & Health Insurance License
• FINRA Series 65
• FINRA Series 66
• FINRA Series 63