Associate - Licensed Communications (FINRA)

Responsibilities

Job Description

• Review general transactions in all Principal Securities products to ensure
  
  

they are appropriate for the client and adhere to regulations. Responsible

for reviewing new business, emails, processes, financial plans, analyzing

products, and communicating with our Principal Advisor Network

• Act as a liaison between Compliance and various operations areas to
  
  

ensure the smooth transition of business and to fulfill reporting requirements

set forth by state and federal securities regulators. May assist Broker-Dealer

operations and Compliance to research, respond and settle formal customer

complaints.

• Maintain comprehensive knowledge of all securities products and services
  
  

offered by Principal Securities, and the system capabilities of Principal

Securities. Including a sound understanding of applicable rules and

regulations. This includes a sound understanding of system capabilities.

Qualifications

• FINRA Series 7 and Series 24 required; Series 66 an advantage.
• Bachelor’s degree or equivalent work experience, and with at least 2 yrs related (financial services industry) work experience
• Must be FINRA registered, which requires fingerprinting and full background check.
• Strong knowledge of all securities products including stocks, bonds, mutual funds, annuities, and insurance.
• Goal oriented and results driven, communication and time management skills.
• Requires basic computer skills and the ability to obtain knowledge of business unit software
• Requires a high degree of accuracy with a strong attention to details
• Must be able to work independently in a fast-paced work environment to meet deadlines and shift priorities as necessary to fulfill customer needs.
  
  

Additional Information

Job Purpose: Review communications to and from Principal Securities registered representatives and IARs to ensure they are consistent with the firm standards and adhere to regulation, while maintaining customer experience by completing the reviews in a timely and accurate manner.