Principal Review Unit Analyst
TD
full-time
Posted on:
Location Type: Office
Location: Manchester • New Hampshire • United States
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Salary
💰 $72,280 - $108,160 per year
Job Level
About the role
- Perform trade review of solicited business submitted by sales producers
- Provide principal review and approval of new account applications
- Review brokerage, advisory, and insurance/annuity business for compliance
- Assist with various production requests, including regulatory exams
- Maintain department's written supervisory procedures
Requirements
- 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)
- State Life & Health Insurance License Required (or ability to obtain)
- FINRA Series 65 or 66 Preferred
- FINRA Series 63 Preferred
- Experience in trade platform systems preferred
Benefits
- Health and well-being benefits
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Career development
- Reward and recognition programs
- Banking benefits and discounts
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade reviewcompliance reviewaccount application approvalregulatory exam assistancewritten supervisory procedures
Certifications
FINRA Series 7FINRA Series 24FINRA Series 9FINRA Series 10State Life & Health Insurance LicenseFINRA Series 65FINRA Series 66FINRA Series 63