Analyst - Licensing & Registration Compliance
This is a critical position which requires performing all the Licenses checks and manage the Licenses transfer to adhere to the U.S regulatory guidelines as per FINRA. The requirement is to fulfill the request of On-boarding, Transition, Address Change request to be met through performing various steps on varied tools for the field members. Responsibilities
To perform the On-boarding for Non-Registered and Registered field staff members through Workday on the company's internal systems as well as on regulatory websites. Managing fingerprints check, Licenses transfers at FINRA and performing background checks also required for the role.
Performing the transitions of Non-Registered and Registered field employees (from one advisor to another) through Workday as well as at FINRA.
To perform the Business Address Change/Branch registration requests for the field members in order to keep the registration (Form U4) updated.
Sending Continue Education emails to the field members in order to fulfill the FINRA requirements of completing the training.
To disclose the Other Business Activities of Advisors/Registered Staff on FINRA.
Manage call of Advisors/Field members as per process requirement. Required Qualifications
Bachelors degree or equivalent
1-4 years of relevant experience