Trade Review Principal, Compliance & Operations
Insurance Administrative Solutions, L.l.c.
Integrity is seeking a Trade Review Principal to supervise registered representatives and investment advisory representatives, ensuring adherence to suitability guidelines and regulatory requirements. The role involves reviewing varied transactions, conducting ongoing account reviews, and educating advisors on compliance and product offerings. The position requires industry knowledge of SEC, FINRA, MSRB, AML rules, and licensing in multiple areas. #J-18808-Ljbffr Insurance Administrative Solutions, L.l.c.
Vacancy posted 4 days ago
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