Remotely
financial servicesrisk managementregulatory compliancesurveillancecompliance frameworksfinraconflict of interestgifts and entertainment
Job Description
📋 Description
- Review prospective registered representatives’ backgrounds, Form U4 information, registration
- Support Form U4 and U5 filings, amendments, licensing and registration requirements, and other
- Coordinate registered representative and firm registration matters with state securities
- Monitor reportable events and ensure required regulatory filings, disclosures, attestations, and
- Review Outside Business Activity (OBA) disclosures and Private Securities Transaction (PST)
- Review gifts and entertainment expenses, political contributions, and other registered-person
🎯 Requirements
- Bachelor’s degree or equivalent professional experience.
- 3+ years of experience in broker-dealer compliance, registration, supervision, surveillance, or a
- Working knowledge of FINRA rules and broker-dealer supervisory requirements applicable to
- Experience with or familiarity with Form U4/U5, FINRA Gateway/CRD, OBAs, PSTs, personal trading
- Strong analytical skills, sound judgment, and excellent attention to detail.
- Ability to identify matters requiring additional diligence or escalation and clearly document
🎁 Benefits
- 100% Remote work
- Generous Paid Time Off
- Benefits Package
- Paid Family Leave
- Diverse and inclusive culture
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