FINRA Licensed Trade Principal
Job Summary
Specializing in the suitability review of Lifetime products, the full-time FINRA Licensed Trade Principal will analyze trades for compliance with regulatory guidelines, manage documentation for non-suitable trades, and collaborate with various departments, working in a hybrid role based in Duluth, GA with one day onsite.
Key responsibilities
- Review and analyze trades to ensure suitability based on compliance guidelines
- Manually review large trades to confirm adherence to anti-money laundering rules and SEC regulations
- Coordinate with New Business management and Compliance on trade processing and new product rollouts
Required qualifications
- High school diploma or equivalent in a related field
- FINRA SIE, Series 6 and 26 (or 7 and 24) preferred
- No prior experience required
- Knowledge of regulatory changes and product sensitivity areas
- Ability to maintain documentation for non-suitable trades
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 44,774 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
Wikipedia Wikipedia URL
BBB URL BBB URL
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
