Financial Services Client
Office Status: Hybrid (3 days per week)
Salary: $110,000 – $120,000
Responsibilities:
- Work collaboratively and effectively with HR on the pre-hire and on-boarding process.
- Coordinate with the Business and Compliance Advisory on new hire registration requirements.
- Prepare FINRA Form U4s, U5s, and NFA Form 8-Rs, 8-Ts; and required amendments for FINRA Registered Representatives, Associated Persons and Principals of the FCM and of the Swap Dealer.
- Process and manage the background checks and FINRA/NFA fingerprinting process.
- Open examination windows and enroll individuals in the SIE.
- Order study materials and enroll individuals in classes with the firm’s approved vendors.
- Administer and manage the OBA approval, garnishment and disclosure processes.
- Manage FINRA Web CRD queues for alerts and disclosure requests.
- Manage and track the Associated Person and Registered Representative population.
- Manage the Permissive – Only Registered process in accordance with FINRA Rule 1210.02.
- Keep current with industry specific emerging risks, trends and issues across the industry.