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