The Broker Dealer Registered Principal is directly involved in securities processing and must maintain compliance with rules and regulations of regulatory agencies, including review for suitability. The Principal is responsible for accurate and timely transaction processing and daily monitoring of broker-dealer account activity. The main responsibilities include:

• Review and approval of general securities, AUL variable annuity and non-brokerage new business for regulatory suitability.  Also, review of transactions, blotters, reports and ledgers for suitability and quality.


• Provide general customer service and broker dealer related registered and non-registered information and problem resolution as needed by our Agents, Representatives and internal business partners.


• Responsible for personal development which includes additional cross-training of self and operations staff members when needed; document procedures; back-up to other new business and cashiering processors.


• Research and resolve transaction and account processing related issues.  Provides brokerage and non-brokerage transaction support to internal and external customers.


• Assist Broker Dealer with ongoing new business acquisition and retention goals by working closely with Marketing to ensure consistent and efficient transition and recruitment of business.

• Associates Degree, in Business and/or Finance, and 3+ years of experience in securities trading within the financial services industry.


• Candidate must possess FINRA Series 7 and 24 licenses and additional licenses (Series 4 and 53) are strongly preferred. Series 9 & 10 also accepted.


• The candidate must be able to prioritize tasks to meet deadlines and fluctuations in transaction volume, with a high degree of accuracy. Must possess strong organization, analytical and communication skills, both oral and written.