About this role
Role Overview
- Serve as the primary point of contact for all Form U4 and Form U5 filings
- Oversee onboarding and offboarding workflows for registered representatives
- Monitor and administer outside business activity disclosures
- Maintain and update RR records, org charts, and registration populations on a regular basis
- Support the firm's conflicts of interest compliance programs
- Collaborate with business partners to evaluate event-related expenses
- Maintain monitoring populations within the firm's e-surveillance system
- Support the development and continuous improvement of the broker-dealer compliance program
Requirements
- Minimum 3 years of regulatory compliance experience within a FINRA-registered broker-dealer or large investment management firm
- Direct experience in licensing and registration functions
- An undergraduate degree is required; a Juris Doctorate (J.D.) is preferred
- Candidates must hold or be prepared to obtain within a reasonable period following hire, the FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) registrations
- Demonstrated knowledge of FINRA Rules and regulations applicable to broker-dealers
- Background in fixed income, alternatives, or multi-asset strategies offered across registered funds, ETFs, separate accounts, and private funds.
Benefits
- Health insurance
- 401(k) matching
- Flexible working hours
- Paid time off
- Professional development opportunities