Trade Review Principal (Compliance & Training)
Integrity
Integrity, LLC in Urbandale, IA seeks a Trade Review Principal to supervise brokers and investment advisory representatives. You will review and approve transactions within strict suitability guidelines and assist with regulatory compliance. The role requires substantial broker-dealer and RIA knowledge, with Series 7/24/65/66 licensing and related state licenses. Up to 10% travel may be involved. #J-18808-Ljbffr Integrity
Vacancy posted 4 days ago
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