Registrations & Compliance Associate

Full Time

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.
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