FINRA Licensed Suitability Principal

Job Summary

A company is looking for a Suitability Principal to conduct back-office reviews and suitability assessments for new business submissions.

Key Responsibilities

• Conduct back-office review and firm acceptance of new and existing submissions related to various investment accounts
• Review trading activity of registered representatives and become a subject matter expert in relevant lines of business
• Consult with registered representatives and provide guidance on suitability concerns and risk mitigation measures

Required Qualifications

• FINRA Series 7 & 24 required at time of application
• 2+ years of relevant experience or 3+ years conducting suitability reviews
• High School Diploma/GED/HiSET
• High aptitude for effective problem resolution
• Strong organizational and time management skills