FINRA Licensed Suitability PrincipalVirtualVocations • Baton Rouge, Louisiana, United States
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FINRA Licensed Suitability Principal
VirtualVocations • Baton Rouge, Louisiana, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Suitability Principal to conduct back-office reviews and suitability assessments for new business submissions.
Key Responsibilities
Conduct back-office review and firm acceptance of new and existing submissions related to various investment accounts
Review trading activity of registered representatives and become a subject matter expert in relevant lines of business
Consult with registered representatives and provide guidance on suitability concerns and risk mitigation measures
Required Qualifications
FINRA Series 7 & 24 required at time of application
2+ years of relevant experience or 3+ years conducting suitability reviews
High School Diploma / GED / HiSET
High aptitude for effective problem resolution
Strong organizational and time management skills
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Principal • Baton Rouge, Louisiana, United States
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