Principal Review Unit Analyst
TD
full-time
Posted on:
Location Type: Hybrid
Location: Greenville • Florida • New Hampshire • United States
Visit company websiteExplore more
Salary
💰 $72,280 - $117,520 per year
Job Level
About the role
- Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules regarding client accounts including Regulation Best Interest and FINRA suitability rules
- Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
- Coordinates initial and annual account review for both TDPCW and Reg-9 reviews
- Prepares daily/weekly/monthly exception reports
- Partners with the Operations team to enhance workflows and processes
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) (Required 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 in trade platform systems preferred
Benefits
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade reviewsbrokerage transactionsannuity purchasesinsurance purchasesexception reportsworkflow enhancementprocess improvement
Soft Skills
coordinationpartnershipattention to detail
Certifications
FINRA Series 7FINRA Series 24FINRA Series 9FINRA Series 10State Life & Health Insurance LicenseFINRA Series 65FINRA Series 66FINRA Series 63