SUMMARY

Responsible for conducting trade review while adhering to regulatory and firm’s policies and procedures.  Responsible for working independently with minimal supervision. Completes all assigned compliance training timely and maintains professional licenses as required.

Essential Duties and Responsibilities include the following. Other duties may be assigned.

Responsibilities include Principal Review and approval of transactions while adhering to the firm’s established policies and procedures.

Provides Principal Review and approval on variety of business types: equities, mutual funds, annuities, life insurance, advisory, etc.

Maintains product knowledge and assists with the creation of practices and programs as needed.

Communicates with registered representatives for any issues regarding transactions.

Communicates with Compliance on regulatory best interest or suitability concerns.

Provides guidance to registered representatives to resolve escalated issues surrounding trade review.

Reviews daily trade blotter for day-to-day broker activity.

Reviews outside brokerage accounts.

Reviews electronic communications as needed.

Education/Experience

Associates Degree in Business, Finance, Accounting or related degree preferred.

Minimum of three years of experience in the securities industry.

Experience and knowledge in Trade Review or Compliance preferred.

Knowledge of a broad range of securities and insurance products, FINRA rules, regulations, Securities and Risk Management principles, current economic and market conditions, legislation required.

Knowledge of criteria for determining best interest and suitability of proposed purchase of securities/insurance products for each individual client's needs and legal principles of client's capacity/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client’s behalf required.

Certifications/Licensing Required

Series 7 Required

Series 63 & 65 or 66 Required

Series 24 or ability to obtain series 24 within 90 days of employment required

Series 4 and 53 are not required but preferred. (Option to obtain within 180 days of employment)

State Insurance license required.

Skills

Ability to exercise independent sound, judgment and discretion and understand when assistance is needed.

Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors.

Strong interpersonal and communication (written and verbal) skills.

Ability to evaluate and analyze products and services, and vendors.

Represents the Company in civic, community and industry functions to network and develop additional business.

Computer Skills

Proficient skills in Word, Excel and Outlook.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Work Environment

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.