Trade Review Principal Lead

Trade Review Principal Lead page is loaded## Trade Review Principal Lead locations:
Urbandale, IAtime type:
Full time posted on:
Posted 2 Days Agojob requisition :
JR3581
** 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 firm’s 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 client’s 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:

*** Bachelor's 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 nation’s 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*
* ** Integrity,
** you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve 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…