Compliance Registrations

Title: Compliance Registrations

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Location: 

Orlando 2 days/week in office. Orlando is preferred located. Will accept remote candidates from Tampa or Jacksonville only.

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Description:

Support the Company’s Central Compliance Team responsible for Registrations Activities and Outside Business Affiliations (OBAs) Compliance on various activities including but not limited to:

• FINRA licensing and registration’s process: pre-hires, U4s, fingerprints, U5s, FINRA exams, continuing education.

• Reviewing and actioning OBA Requests.

• Conducting monthly and quarterly reviews.

• Performing QC checks on worked conducted by compliance analysts.

• Supporting data request and participating in review conducted by Compliance Testing, Internal Audit, and external parties.

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Qualifications:

• Compliance experience with a FINRA Member Broker-Dealer

• Working knowledge of FINRA and U.S. state registration requirements

• Experience with Web CRD

• Experience with OBAs (Outside Business Affiliations)

• Highly organized and detailed oriented

• Excellent written and oral communication skills

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Contact:

Thanks

rehana@panzersolutions.com