Madison-Davis
EXTERNAL ROLE
Job Details:
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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