Trade Review Principal (Operations Compliance)

Location: Des Moines, IA, United States; office position

Company

hirify.global is an independent distributor of life, health, and wealth insurance products with a strong insurtech focus, serving independent agents and clients nationwide.

What you will do

• Review and approve transactions within established suitability guidelines and required time frames.
• Review mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments, advisory, and brokerage transactions.
• Review brokerage and advisory accounts to ensure compliant account opening and conduct ongoing reviews for potential sales abuses.
• Notify advisors of conflicts with client investment profiles, company policies, or industry regulations and help resolve escalated issues.
• Educate and train representatives on regulatory, legal, licensing, product, and internal process requirements.
• Work with Compliance on regulatory concerns and recommend process improvements.

Requirements

• 2–4 years of financial services experience.
• Advanced knowledge of broker-dealer and RIA business processes.
• Thorough understanding of SEC, FINRA, MSRB, AML, and state securities regulations.
• Product knowledge covering variable life, variable annuities, mutual funds, managed accounts, financial planning, and securities.
• FINRA Series 7, 24, and 65/66 licenses required; Series 4 and 53 required within 6 months.
• Four-year college or university certificate, or an equivalent combination of education and experience; applicable state insurance and securities licenses may be required.

Culture & Benefits

• Full-time employment in an office-based role.
• Up to 10% travel.
• Competitive compensation and benefits for employees and their families.
• Family-like environment with professional development opportunities in a hyper-growth company.