Trade Review Principal — Compliance & Transactions Lead
Job in
Urbandale, Polk County, Iowa, 50322, USA
Listed on 2026-08-03
Listing for:
Integrity Marketing Group
Full Time
position Listed on 2026-08-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance -
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
Integrity Marketing Group seeks a Trade Review Principal to supervise Brokers International Financial Services, LLC registered representatives and investment advisory representatives. You will review and approve transactions across funds, life products, and advisory services to ensure compliance with regulations and company guidelines.
The role requires 2–4 years in financial services, FINRA licenses, and the ability to train associates on regulatory requirements and internal procedures.
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