Compliance/Registration Associate
3 weeks ago
* DURATION 3 MONTHS ***
Hybrid: 3 days on site per week
"Since these individuals will be making regulatory filings, we need candidates that can demonstrate aptitude, strong communication and organizational skills, and will embrace the opportunity to learn, while working on a firm-wide initiative. We've had several contingents in the past that came from the legal environment, so we know those are transferrable skills and they are/were comfortable navigating the FINRA framework. While it would be ideal for candidates to a few years work experience, it is not a deal breaker. The project management experience is ideal because they will be working on a project, but they will not be expected to manage it. Not necessary to have financial experience, but it does help provide some foundational knowledge about what we do."
The Registration team is part of Shared Services Compliance and services Group (ISG), and is responsible for obtaining and maintaining the securities licenses for the Firm, its employees, and branch offices.
Primary Job Responsibilities
The position will be responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant. The individual will also be responsible for helping to maintain registration records and procedures; assist with the review and interpretation of disclosure records for current and prospective employees; and ensure licensing requirements for all registered employees have been satisfied. Other related responsibilities include:
Develop, maintain or enhance securities licensing processes and procedures
Respond to regulatory and registration requests
Support process workflows and the systems utilized to associate registered individuals
Handle resolution of escalated matters
Assist with targeted projects and support strategic initiatives
Qualifications
Education level: Bachelor's Degree or higher
Legal and/or Compliance experience preferred
Familiar with Microsoft platform tools (Outlook, Excel, PowerPoint, etc.)
Must be highly organized, detailed oriented, and comfortable working both independently and within a team environment
Must be self-motivated, driven, proactive, and possess strong communication and analytical skills
Must be able to manage multiple tasks and prioritize workflow with minimal supervision
Strong project management skills including critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines
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