Trade Review Principal

The Role

The Trade Review Principal is responsible for the supervisory review and approval of securities and advisory transactions conducted by the firm’s registered representatives and investment adviser representatives. This role evaluates transactions and account activity for alignment with client investment profiles, firm policies, supervisory procedures, and applicable regulatory requirements.

The ideal candidate brings strong broker-dealer and RIA experience, sound judgment, and the ability to identify and resolve supervisory and sales-practice concerns while partnering effectively with advisors, Operations, and Compliance.

This is an onsite position in West Des Moines, IA.

Essential Job Functions, other duties assigned

• Review and approve brokerage and advisory transactions in accordance with firm policies, supervisory procedures, and regulatory requirements.
• Evaluate mutual funds, annuities, variable life insurance, 529 plans, managed accounts, financial planning, alternative investments, and other securities transactions.
• Review new and existing accounts for completeness, suitability, and adherence to firm standards.
• Monitor account and transactional activity for potential sales-practice concerns, exceptions, or elevated risk.
• Identify transactions that conflict with a client’s investment profile, firm policy, or regulatory requirements and work with advisors to resolve concerns.
• Escalate complex or higher-risk matters to Compliance and appropriate business partners.
• Provide guidance and education to advisors regarding supervisory requirements, products, licensing, documentation, and internal procedures.
• Maintain accurate documentation of supervisory reviews and decisions.
• Stay current on regulatory requirements, products, policies, and industry developments.
• Recommend process and workflow improvements that strengthen the trade-review function.
  

Knowledge, Skills, and Abilities

• 5+ years of relevant financial-services experience, preferably within a broker-dealer, RIA, compliance, supervision, or trade-review environment.
• Strong knowledge of broker-dealer and RIA operations and supervisory practices.
• Working knowledge of FINRA, SEC, MSRB, state securities, and applicable AML requirements.
• Strong understanding of securities, advisory products, annuities, mutual funds, and alternative investments.
• Strong analytical skills and the ability to exercise independent supervisory judgment.
• Excellent written and verbal communication, organization, and time-management skills.
• Ability to effectively manage multiple priorities and collaborate with advisors, Compliance, and Operations.
  

Experience and Education

• Bachelor’s degree preferred; equivalent relevant education and experience may be considered.
• FINRA Series 7, 24, and 65/66 required.
• Series 4 and 53 required within six months of hire.
• State insurance and securities licenses for life, health, and variable annuity products may be required based on assigned responsibilities.
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Physical Requirements

Office Position

Travel

Up to 10%

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 offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At 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 mind. 

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.