Job Description

• Responsible for reviewing new business, emails, processes, financial plans, analyzing products, and communicating with our Principal Advisor Network
• Assist Broker-Dealer operations and Compliance to research, respond and settle formal customer complaints
• Review general transactions in all Principal Securities products to ensure they are appropriate for the client and adhere to regulations
• Act as a liaison between Compliance and various operations areas to ensure the smooth transition of business
• Fulfill reporting requirements set forth by state and federal securities regulators
• Processes and Completes and Confirms Transactions

Desired Skill

• Knowledge of Capital Markets
• Understanding Products and Their Risks
• Understanding Trading, Customer Accounts and Prohibited Activities
• Overview of the Regulatory Framework
• FINRA Rules
• Building Conversation Skills

Technical Skill

• FINRA Rules
• Requires basic computer skills and the ability to obtain knowledge of business unit software
• Market Structure Understanding
• Maintain comprehensive knowledge of all securities products and services offered by Principal Securities, and the system capabilities of Principal Securities
• Understanding of applicable rules and regulations
• Sound understanding of system capabilities

Roles and Responsibilities

• Review communications to and from Principal Securities registered representatives and IARs to ensure they are consistent with the firm standards and adhere to regulation
• Maintaining customer experience by completing the reviews in a timely and accurate manner

Education Requirements and Work Experience

• Should have 2 years’ experience in a similar field.
• FINRA Series 24 required
• Bachelor’s Degree or equivalent work experience and with at least related (Financial services industry) work experience
• Must be a FINRA registered, which requires background check
• Strong Knowledge of all security products including Investment banking, Stocks, Bonds, Mutual Funds, Annuities and Insurance.
• Goal oriented and results driven, communication and time management skills
• Requires a high degree of accuracy with a strong attention to details
• Work independently in a fast-paced work environment to meet deadlines and shift priorities as necessary to fulfill customer needs

Please refer to job description.