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Trade Review Principal
Integrity Marketing Group LLCCore Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates advanced technical knowledge of broker-dealer and RIA business processes, along with a thorough understanding of SEC, FINRA, MSRB, and AML regulations. Capable of educating and training representatives on compliance and product knowledge while maintaining high standards of customer account reviews.
Highest-signal resume keywords
FINRA Series 7FINRA Series 24FINRA Series 65/66Product Knowledge in Variable Life and AnnuitiesFinancial Services Experience
About the role
Key responsibilities & impact- Supervise Integrity’s registered representatives and investment advisory representatives
- Review and approve transactions within established suitability guidelines and time frames
- Review and approve mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments, advisory, and brokerage transactions
- Review brokerage and advisory accounts held through clearing firms to ensure account opening follows company guidelines
- Conduct ongoing customer account reviews to detect potential sales abuses
- Maintain product knowledge
- Educate and train representatives on regulatory, corporate, legal, product, licensing, and internal process requirements
- Notify advisors when transactions conflict with client investment profiles, company policies, or industry regulations
- Work with advisors to resolve escalated investment issues
- Work with Compliance to address regulatory concerns or improper sales practices
- Develop process improvement recommendations to enhance department workflow
Requirements
What you’ll need- Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes
- Thorough understanding of SEC, FINRA, MSRB, AML, and state securities regulator rules, regulations, and legal requirements
- Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning, and securities
- Strong conceptual skills with ability to deliver ideas that drive results
- Exceptional written and verbal communication skills
- 2-4 years of prior financial services experience
- Four year college or university program certificate, or equivalent combination of education and experience
- FINRA Series 7, 24, and 65/66 required
- Series 4 and 53 required within 6 months
- Insurance and securities licenses in states of operation for life, health, and variable annuity may be required
- Must display Core Values
Benefits
Comp & perks- Competitive compensation package
- Benefits for employees and families
- Professional opportunities and career acceleration
- Reasonable accommodations for qualified individuals with disabilities
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Investment AdvisoryTransaction ReviewRegulatory ComplianceFinancial PlanningMutual FundsAlternative InvestmentsBrokerage TransactionsAccount ReviewProcess ImprovementSales Abuse Detection
Soft Skills
Exceptional Communication SkillsConceptual SkillsTraining and Education
Certifications & Qualifications
FINRA Series 4FINRA Series 53Insurance Licenses
Industry Keywords
SEC RegulationsFINRA RegulationsMSRB RegulationsAML ComplianceSecurities Regulation