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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in trade review, compliance with FINRA and SEC regulations, and effective communication across all organizational levels. Proficient in managing brokerage account documentation and ensuring adherence to AML/CIP/KYC programs.
Highest-signal resume keywords
FINRA Series 7FINRA Series 24State Life & Health Insurance LicenseBrokerage Industry ExperienceTrade Review
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Trade ReviewCompliance ReviewAccount DocumentationRegulatory ReportingAML/CIP/KYC ComplianceBrokerage TransactionsManaged Accounts ReviewRegulation Best InterestFINRA Suitability RulesProblem Solving
Soft Skills
Effective CommunicationTime ManagementOrganizational SkillsMulti-taskingFollow-up Skills
Tools & Technologies
MS Office SoftwareTrade Platform Systems
Certifications & Qualifications
FINRA Series 7FINRA Series 24State Life & Health Insurance LicenseFINRA Series 65FINRA Series 63
Industry Keywords
BrokerageAdvisory BusinessInsurance/AnnuityFINRA ComplianceSEC ComplianceRegulatory EnvironmentMarket SupervisionCentralized ControlsClient GoalsReg-9 Reviews
About the role
Key responsibilities & impact- Perform trade review of solicited business submitted by Distribution Department sales producers
- Provide principal review and approval of new account applications
- Review brokerage, advisory, and insurance/annuity business for appropriateness under applicable Standards of Conduct
- Maintain and perform centralized controls and reporting
- Review and approve new account documentation for FINRA and SEC compliance, including Regulation Best Interest and FINRA suitability rules
- Ensure compliance with AML/CIP/KYC programs for new account opening
- Perform primary trade reviews for solicited brokerage transactions and annuity/insurance purchases
- Review and approve Statement of Selection documentation for Managed Accounts in conjunction with client goals and objectives
- Coordinate initial and annual account reviews for TDPCW and Reg-9 reviews for TDBNA
- Support Market Supervision Managers and Field Supervision teams
- Oversee centralized control report activity and issue inquiries to field supervisors
- Assist with production requests, including regulatory exams and requests
- Maintain written supervisory and desktop procedures, including Firm Supervisory Guidelines
- Provide dashboard reporting and prepare daily, weekly, and monthly exception reports
- Partner with Operations to enhance workflows, controls, and efficiency
- Work closely with Market Supervision Managers and US Wealth operations, compliance, and risk departments
Requirements
What you’ll need- College degree or equivalent experience required
- 5+ years of brokerage industry experience
- FINRA Series 7 required
- FINRA Series 24 required, or FINRA Series 9/10, or ability to obtain within scheduled time
- State Life & Health Insurance License required, or ability to obtain within scheduled time
- FINRA Series 65 or 66 preferred
- FINRA Series 63 preferred
- Experience with MS Office software
- Experience in trade platform systems preferred
- Ability to communicate effectively with all levels of staff and management
- Ability to prioritize and multi-task with a high degree of accuracy
- Ability to solve problems in a fast-paced and ever-changing regulatory environment
- Effective organization, time management, and follow-up skills
- Ability to obtain additional licensing as required
- Must be eligible for employment under standards established by FINRA
- Subject to FINRA Rule 3110(e) investigation and verification requirements
- Satisfactory criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
Benefits
Comp & perks- Base salary and variable compensation/incentive awards, including potential cash and/or equity incentive awards
- Health and well-being benefits
- Savings and retirement programs
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
- Banking benefits and discounts
- Career development
- Reward and recognition
- Regular career, development, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Competitive benefits plan