Principal Review Unit Analyst - Manchester, New Hampshire

Review and approve new account documentation ensuring adherence to FINRA and SEC rules, including Regulation Best Interest and FINRA suitability rules, and compliance with AML/CIP/KYC programs.,Perform primary trade reviews for appropriateness, including solicited brokerage transactions and annuity/insurance purchases.,Review and approve Statement of Selection documentation for Managed Accounts.,Coordinate initial and annual account reviews for TDPCW and Reg-9 reviews for TDBNA.,Oversee centralized control report activity and issue inquiries to field supervisors.,Assist with various production requests, including internal and external regulatory exams.,Assist in maintaining departmental written supervisory and desktop procedures.,Provide dashboard reporting and prepare daily/weekly/monthly exception reports.,Partner with the Operations team to enhance workflows and processes for improved controls and efficiencies.

College degree or equivalent experience.,5+ years of Brokerage industry experience.,FINRA Series 7 Required.,FINRA Series 24 Required (or FINRA Series 9/10, or ability to obtain within scheduled time).,State Life & Health Insurance License (Required or ability to obtain within scheduled time).,FINRA Series 65 or 66 (Preferred).,FINRA Series 63 (Preferred).,Eligible for employment under standards established by FINRA.,Subject to FINRA Rule 3110(e) investigation and verification requirements.,Satisfactory results on criminal background check, credit report check, civil litigation search, and regulatory agency enforcement action search.

College degree or equivalent experience

Occasional domestic travel,Must be eligible for employment under FINRA standards,Requires satisfactory criminal background check, credit report check, civil litigation search, and regulatory enforcement action search.