Suitability Principal (Fintech)

TL;DR

Suitability Principal (Fintech): Conducting back-office reviews and firm-acceptance of new business and suitability reviews for brokerage and advisory accounts with an accent on regulatory compliance and risk mitigation. Focus on auditing trading activity, ensuring adherence to firm policies, and resolving complex operational problem sets independently.

Location: Remote within the US. Candidates residing within 50 miles of hirify.global office are expected to work a Hybrid schedule (3 days a week in office).

Salary: $69,000–$90,500

Company

A leading financial services and insurance corporation providing wealth management and investment services to clients across the country.

What you will do

• Conduct back-office reviews and firm-acceptance for Brokerage, Direct, and Third-Party Advisory accounts.
• Monitor trading activity through supervisory control procedures and the application of firm policies.
• Identify root causes of operational issues and implement independent solutions without constant supervision.
• Collaborate with Compliance, Field Inspection, and Regional Supervisory Directors to resolve complex problems.
• Provide expert guidance to registered representatives and supervisory officers on suitability concerns.
• Identify and report trending risks to management and suggest effective mitigation measures.

Requirements

• FINRA Series 7 & 24 licenses required at time of application.
• 2+ years of experience at MMLIS or 3+ years of experience within the brokerage/advisory space.
• High School Diploma or equivalent.
• Must be based in the United States.

Nice to have

• FINRA Series 4 and 53 licenses.
• 3+ years of experience specifically conducting suitability reviews.
• College degree with a concentration in business or finance.

Culture & Benefits

• Industry-leading pay and comprehensive corporate benefits package.
• Access to diverse Business Resource Groups focusing on ethnicity, gender, LGBTQIA+, and veterans.
• Continuous learning opportunities through Degreed and other informational platforms.
• Strong and stable ethical business environment that values integrity.
• Structured support with regular one-on-one meetings with management.