Assist in drafting and maintaining FINRA Forms and Filings (e.g., U4, U5, BR, and BD). Monitor exam status reports and follow-up with registered representatives pending examinations. Assist with annual FINRA/States registration renewals. Assist in scheduling FINRA exams, fingerprints, and ordering study materials. Assist with drafting FINRA licensing waiver requests and FINRA review of trading requests. Coordinate with compliance team members to assess FINRA registration requirements. Track FINRA continuing education requirements and escalate when necessary. Maintain list of branch offices and BD/IA affiliates. Create and maintain complete records for each registered representative and FINRA Gateway user accounts. Research applicability of FINRA licensing rules to the firm. Review registered representative disclosures and correct licensing deficiencies. Develop and maintain FINRA licensing policies, procedures and controls to ensure adherence to laws, regulations and firm standards. Qualifications include proficiency in FINRA licensing and registrations and a working knowledge of FINRA Gateway, Bachelor's degree or equivalent, 2+ years of working experience ideally at a major financial services firm in compliance, proficiency in Microsoft-based software products including Word, Excel, and Outlook, strong commitment to providing excellent customer service, strong analytical skills, attention to detail, and multitasking skills, and ability to work well independently while collaborating effectively as part of a team. The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion.
By applying, you consent to your information being transmitted by Jooble to the Employer, as data controller, through the Employer’s data processor SonicJobs.
See Sonicjobs Privacy Policy at and Terms & Conditions at and SonicJobs Privacy Policy at and Terms of Use at
...Homeowners. Transform Energy. Achieve Unlimited Success. Momentum Solar isnt just another solar companywere a pioneer in the... ...energy space. Recognized as the #1 Residential Installer by Solar Power World in 2020 and an Inc. Magazine Best Place to Work , we are...
8901 - Corp Office West Crk - 12800 Tuckahoe Creek Parkway, Richmond, Virginia, 23238 CarMax, the way your career should be! About The Department The Retail and HR Strategy group is a community of 50+ analysts with a variety of strategic, analytical, and technical...
...Schedule: 1st shift (day shift) M-F Pay: Based on Experience Maintenance Electrician Position Summary: The Maintenance... ...responsible for the installation, maintenance, and troubleshooting of electrical systems and controls on production and facility equipment....
...thrive, make a difference and be part of a culture where... ...and valued every day. Part-Time Inbound Sales Advisor, Remote... ...succeed. Why Youll Love Working With Us: Remote work: Enjoy... ...the flexibility of working from home in your secured workspace....
...Neal R. Gross and Co. is a leading Court Reporting and Transcription services company based out of the Washington, DC area with work across the country. Our clients include local, state and federal courts, the House of Representatives, Department of Defense and clients...