Trade Review Principal

Job Summary

In this role you will have supervisory responsibility of registered representatives and investment advisory representatives. The Trade Review Principal (TRP) will need extensive industry knowledge and operational experience related to suitability and trade review along with time management and organizational skills.

In this role you will:

• Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames. Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments (REITs and DPPs), advisory and brokerage transactions.
• Reviewing brokerage and advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
• Conduct customer account reviews to detect potential sales abuses.
• Maintain product knowledge
• Provide education and training to representatives concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
• Notifying advisors when a transaction conflicts with a client’s investment profile, a company policy, or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
• Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.
• Developing process improvement recommendations to enhance department workflow.
• Perform other duties as assigned to support the needs of the team.

Desired Qualifications:

• Bachelor's degree (BA/BS) from 4-year college or university or two to four years related experience and/or training; or equivalent combination of education and experience.
• 4-6 years in roles within financial services, preferably with exposure to trade review and compliance.
• FINRA Series 6/7 and 24/26 are required. Series 4, 53, and 65/66 required within 6 months. Insurance and securities license(s) in state(s) of operation for life, health, and variable annuity may be required.

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.