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About the role
Key responsibilities & impact- Reviews and approves new account documentation to ensure adherence to all applicable FINRA and SEC rules
- Performs all primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases
- Reviews and approves Statement of Selection documentation on all Managed Accounts for the Investment Advisory Platform
- Coordinates initial and annual account review
- Assists with various production requests, including those internal and externally requested through regulatory exams
- Maintains the department's written supervisory and desktop procedures
- Provides dashboard reporting to highlight activities performed by the department
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) (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)
- Computer skills: In addition to 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 & ever-changing regulatory environment
- Effective organization, time management, and follow up of work
- Ability to obtain additional licensing, as required
Benefits
Comp & perks- 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 opportunities
- Reward and recognition programs
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
trade reviewsbrokerage transactionsannuity purchasesdashboard reportingregulatory compliance
Soft Skills
communicationprioritizationmulti-taskingproblem-solvingorganizationtime management
Certifications
FINRA Series 7FINRA Series 24State Life & Health Insurance LicenseFINRA Series 65FINRA Series 66FINRA Series 63