Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their health and wealth so they can be ready for the good days ahead.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit IntegrityMarketing.com.

We are currently seeking an dedicated and driven Trade Review Principal to help lead Brokers Internal Financial Services, LLC registered representatives and investment advisory representatives.

Brokers International and our subsidiary organizations, Brokers Financial and Brokers International Mountain States work to empower financial professionals across the country with innovative solutions, support, technology, and marketing assistance so they can help more Americans effectively prepare for retirement. By joining our team, you’ll have the opportunity to work for one of the country’s largest and most experienced insurance marketing organizations, enabling you to positively impact thousands of financial professionals and their businesses.

What You'll Be Responsible For

• Provide Principal review and approval of transactions while working within firm’s established suitability guidelines and time frames.Provide Principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, financial planning advisory.
• Reviewing advisory accounts held through our clearing firms to ensure that the account opening process follows all company guidelines.
• Conduct customer account reviews to detect potential sales abuses.
• Maintain product knowledge.
• Handle incoming calls from RRs or clients to assist with various requests (i.e., withdrawals, address change, form requirements, firm procedures, etc.) and problem resolution.
• Provide education and training to representatives concerning regulatory, corporate, and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
• Notifying advisors when a transaction conflicts with a client’s investment profile, a company policy, or an industry regulation. Working with advisors to resolve escalated issues surrounding these investments.
• Work with the Compliance Department as needed to address regulatory concerns or improper sales practices.

Desired Qualifications:

• Four-year college or university program certificate; or two to four years related experience and/or training; or equivalent combination of education and experience.
• FINRA Series 6, 26, and 65 required. Insurance and securities license(s) in state(s) of operation for life, health, and variable annuity may be required.
• Prior industry experience required.
• Advanced technical knowledge and advanced understanding of broker-dealer and RIA business processes. 
• Thorough understanding of rules, regulations and legal requirements of the SEC, FINRA, MSRB, AML and state securities regulators. 
• Product knowledge in variable life, variable annuities, mutual funds, managed accounts, financial planning, and securities.

Employee Benefits

Brokers International offers a comprehensive benefits package including PTO, paid holidays, medical, dental, retirement plan, Employee Ownership Program, employer paid short term disability, and more. We believe in a flexible work environment and have a hybrid work model for most positions. We also reward our employees’ hard work with profitability bonuses, a casual dress code, adjustable sit / stand desks, and free snacks, fruit and coffee. As an added bonus, we close every Friday at 3 p.m.

Our Culture

At Brokers International, our thriving, positive workplace culture helps drive our workforce and encourages overall employee wellbeing. We strive for an environment of inclusion while celebrating the individual creative differences embodied by all of our employees. If you want to be part of an innovative team dedicated to helping financial professionals build stronger businesses through tailored product sales, marketing, compliance and operational support, look no further.

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products with a data and technology focus. We are an omnichannel insurtech company innovating insurance with a singular purpose: to help people protect their life, health and wealth so they can make the most of what life brings. Headquartered in Dallas, Texas, Integrity is committed to making insurance simpler and more human, so everyone can plan for the good days ahead. Integrity’s 5,500 employees currently support over 420,000 independent agents who serve the needs of more than 2.2 million clients annually. For more information, visitwww.integritymarketing.com.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily.

Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind. 

Integrity Marketing Group, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity Marketing Group, LLC will provide reasonable accommodations for qualified individuals with disabilities