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MN Licensed Principal
A company is looking for a Principal. Key Responsibilities Conduct routine reviews and monitor the firm's insurance, securities, and retail advisory business for compliance and safeguarding member interests Identify, address, and document concerns, escalating when necessary Provide professional customer service to members and support management with escalated issues Required Qualifications College degree or equivalent work experience required 0-3 years working in the financial services/compliance industry required Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations Understanding of financial services industry products, including life, annuities, and mutual funds FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire/transfer
A company is looking for a Principal.
Key Responsibilities
Conduct routine reviews and monitor the firm's insurance, securities, and retail advisory business for compliance and safeguarding member interests
Identify, address, and document concerns, escalating when necessary
Provide professional customer service to members and support management with escalated issues
Required Qualifications
College degree or equivalent work experience required
0-3 years working in the financial services/compliance industry required
Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations
Understanding of financial services industry products, including life, annuities, and mutual funds
FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire/transfer