Principal

• 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

Explore Trade Review Principal at Integrity Marketing Group LLC. Review requirements and application details.