Trade Principal 1

Review and analyze all Lifetime product trades to determine suitability based on compliance guidelines and NIGO rules. Manually process large trades to ensure adherence to anti-money laundering and SEC Books and Records regulations. Open and document case files for non-suitable trades to track investigations. Collaborate with New Business management on trade reconciliation and support Compliance and Marketing during product rollouts. Interpret suitability results for regulatory audits requested by FINRA or SEC. Maintain current knowledge of product changes and regulatory sensitivities while reporting identified violations. Assist in coordinating quality control and business assessment processes.