Trade Review Officer - Securities Administration

About the role

Conduct trade reviews to ensure compliance with regulatory policies and firm procedures. Approve various transactions including equities, mutual funds, annuities, and insurance products. Maintain product knowledge, communicate with registered representatives and compliance teams, review daily trade blotters and outside accounts, and provide guidance on trade-related issues. Ensure adherence to legal and regulatory standards, complete required compliance training, and maintain professional licenses while staying updated on industry regulations.

Responsibilities

• Conduct trade reviews to ensure compliance with regulatory policies and firm procedures
• Approve transactions including equities, mutual funds, annuities, and insurance products
• Maintain up-to-date product knowledge
• Communicate with registered representatives and compliance teams
• Review daily trade blotters and outside accounts
• Provide guidance on trade-related issues
• Ensure adherence to legal and regulatory standards
• Complete required compliance training
• Maintain professional licenses and stay current on industry regulations
• Collaborate across departments
• Evaluate products and vendors
• Represent the company professionally at industry functions
• Adhere to banking regulations

Requirements

• Associates Degree in Business, Finance, or related field preferred
• Minimum three years of securities industry experience
• Knowledge of FINRA rules, securities, insurance products, and risk management
• Series 7, 63/65/66, and State Insurance license required
• Series 24 or ability to obtain within 90 days preferred
• Proficiency in Microsoft Word, Excel, and Outlook
• Strong interpersonal, communication, and independent judgment skills

Benefits

• Competitive salary
• Paid time off (PTO)
• Holidays
• Comprehensive benefits package