International Banking Client
Office Status: Hybrid (3 days per week in office)
Salary: $90,000 – $130,000
Responsibilities:
- Branch Office point of contact to help build compliant business partnerships
- Conduct suitability/best interest reviews of recommended transactions
- Monitor supervisory systems related to personal trading accounts; employee gifts, received and given; political contributions; electronic communications
- Review and maintain registered representative files, including Form U4, pre-dispute arbitration forms, fingerprint cards and other onboarding documents
- Work closely with the Registration Coordinator to ensure proper CRD Administration and RR onboarding.
- Administer registered personnel periodic attestations including but not limited to written supervisory procedures, customer complaints and AML
- Ensure registered personnel disclosures are up-to-date and on file, including personal trading files, outside business activity files, and private securities transactions
- Assist in the implementation and maintenance of Written Supervisory Procedures and help ensure the firm’s adherence
- Review certain FINRA Report Cards to help monitor compliance with regulatory requirements