Operations Principal- Sales Review

At American Independent Securities Group, we support financial professionals in achieving their long-term goals and growing their businesses, by understanding their needs and implementing tailored solutions.

We are an investment securities broker-dealer and registered investment advisor. We are seeking a FINRA Series 24-licensed individual with 2+ years of experience reviewing investment products for suitability and adherence to Regulation Best Interest. The Sales Review Principal is responsible for first-line review of accounts and product recommendations. They will work closely with members of Compliance and other departments throughout AISG.


  • Conduct first-line review of accounts and product recommendations.
  • Answer questions related to Regulation Best Interest and general new account matters.
  • Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis.
  • Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner.
  • Collaborate interdepartmentally to identify and solve issues based on Financial Professional and AISG needs.
  • Participate in initiatives to continuously improve policies and procedures.
  • Contribute to various ad hoc projects as assigned by the CCO. Assignments may include assisting with regulatory exams and requests, participation in committees, and more.


  • Bachelor’s degree or 4 years of direct principal-related experience.
  • 2+ years’ experience in a related position.
  • Licenses/Certifications: Series 7, Series 24. Series 53 or Series 4 is a plus.

Key Competencies

  • Excellent organizational and time management skills to meet deadlines while managing multiple tasks.
  • Strong oral and written communication skills.
  • Knowledge of FINRA, SEC, and State rules and regulations. Experience with application of Regulation Best Interest strongly preferred.
  • Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments.
  • Experience with various computer software including Microsoft Excel and Outlook.

We Offer You:

  • Competitive wages
  • Comprehensive benefit package
  • Paid time-off
  • Retirement plan, with employer match

Physical Demands / Work Environment

  • Frequently required to sit and utilize visual acuity and finger dexterity to operate equipment, including keyboard.
  • Frequently required to talk and hear via telephone handset or headset.

Job Type: Full-time


  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Health insurance
  • Paid time off
  • Vision insurance

Hours of operation for this position are 7 AM – 4 PM MST, Monday through Friday.