Trade Review Principal; Compliance & Training
Listed on 2026-10-07
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Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Integrity, LLC in Urbandale, IA seeks a Trade Review Principal to supervise brokers and investment advisory representatives. You will review and approve transactions within strict suitability guidelines and assist with regulatory compliance.
The role requires substantial broker-dealer and RIA knowledge, with Series 7/24/65/66 licensing and related state licenses. Up to 10% travel may be involved.
Consider building your career as a Trade Review Principal (Compliance & Training) at Integrity.
The position is based in Urbandale, IA, United States.
This opportunity is part of our work in Finance.
The advertised compensation is 80..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Trade Review Principal (Compliance & Training) role in the description above.
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