Suitability Principal - Series 7
Company: VirtualVocations
Location: Fullerton
Posted on: November 7, 2024
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Job Description:
A company is looking for a HFA Suitability Principal responsible
for reviewing financial transactions and ensuring compliance with
regulatory standards.
Key Responsibilities:
Review and approve new accounts and products for compliance with
FINRA, SEC, and DOL regulations
Evaluate security trades for suitability and escalate issues as
necessary
Review emails for compliance with regulatory standards and company
guidelines
Required Qualifications:
High School Diploma
At least one year of experience in the securities/investment
industry
Series 7 license
Series 24, 66, and Life and Health licenses required within 180
days of hire
Bachelor's Degree preferred
Keywords: VirtualVocations, Santa Clarita , Suitability Principal - Series 7, Education / Teaching , Fullerton, California
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