Compliance Associate

Full Time

Madison-Davis

EXTERNAL ROLE

Job Details:

  • Complete new employee onboarding and new hire compliance training
  • 4530 reports
  • Make necessary updates in FINRA's WebCRD portal to Forms U4, U5, NRF, BD, and BDW
  • Conduct daily and weekly trade surveillance  
  • Complete monthly employee trade reviews  
  • Handle customer complaints  
  • Organize annual Firm Element Continuing Education Training for the Firm’s Registered Representatives
  • Stay up to date on FINRA Regulatory Circulars
  • Draft responses to regulatory inquiries
  • Conduct Annual Compliance Reviews
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