More jobs:
Trade Review Principal, Compliance & Operations
Job in
Urbandale, Polk County, Iowa, 50322, USA
Listed on 2026-08-24
Listing for:
Insurance Administrative Solutions, L.l.c.
Full Time
position Listed on 2026-08-24
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Integrity is seeking a Trade Review Principal to supervise registered representatives and investment advisory representatives, ensuring adherence to suitability guidelines and regulatory requirements. The role involves reviewing varied transactions, conducting ongoing account reviews, and educating advisors on compliance and product offerings.
The position requires industry knowledge of SEC, FINRA, MSRB, AML rules, and licensing in multiple areas.
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