Principal Review Specialist

This is a fully remote position, open to applicants in Ohio.

📋 Description

• Executes regulatory sales supervision functions for brokerage and insurance.

• Evaluates and decides on a selection of business processes, including rollovers, securities, and/or insurance transactions.

• Assesses whether transactions comply with regulatory standards.

• Conducts informal reviews of business practices to detect trends and/or unusual trading activities.

• Provides assistance during regulatory examinations and inquiries.

⛳️ Requirements

• A high school diploma or equivalent is mandatory.

• A Bachelor's degree in Finance, Economics, or a related discipline is preferred.

• A minimum of 2 years of experience in brokerage or a similar field is required.

• Series 7, 63, and 24 licenses must be obtained.

• Strong encouragement to acquire Series 4, 53, and 66 licenses, as well as a life and health insurance license.

• In-depth knowledge of investment products, including Annuities, Stocks, ETFs, ETNs, Mutual Funds, UITs, Structured Products, Corporate Bonds, Government Bonds, Municipal Bonds, Brokerage CDs, and Options.

🏝️ Benefits

• Comprehensive benefits programs.

• Health insurance.

• Retirement plans.

• Paid time off.

• Flexible work arrangements.

• Opportunities for professional development.

• Performance-based incentive compensation plan.