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Trade Review Principal 2

Description
Company Name: Primerica

Primerica currently has the following opening in our headquarters located at 1 Primerica Parkway in Duluth, Georgia:

The Trade Review Principal 2 candidate reviews and analyzes 13 suitability reports and provides further review of any trades that do not meet required criteria. The role manually reviews all large trades to ensure proper suitability and compliance with Primerica Anti-Money Laundering and SEC Books & Records rules. The candidate ensures that clients receive the correct breakpoint and that the trade is processed as instructed. The Trade Review Principal reviews funds on the PNC platform and 529 Education Plan trades. The candidate reviews trade blotters for completeness, applies proper signoff on all reports, and tracks and corresponds with agents that submit unsuitable trades. The role talks with regulators and interprets suitability results for trades requested by FINRA and/or SEC during audits. The Trade Review Principal reviews and analyzes the investment objectives for all funds within approved mutual fund families to ensure each one is categorized correctly for suitability review.

Qualifications, Skills, and Abilities:

• Bachelor’s degree or equivalent business experience
• Series 6, 26 are required
• Series 51 is preferred
• Ability to recognize legal and regulatory issues affecting the liability of the Company
• Strong organizational skills, including the ability to manage multiple tasks and projects simultaneously and meet strict deadlines
• Excellent oral and written communication skills
• Excellent interpersonal skills
• Excellent verbal and written communication skills and an understanding of operational functions
• Ability to work overtime as needed.

For more information of this job and to Apply Online, please visit us at http://www.employmentcrossing.com/lcjsjobdetail.php?akey=69503497feefb308648a370f8b5eb265&pubid=7343d2cc7f4f67850872702f4a598a2e
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