Compliance Analyst - Registration
Company: VirtualVocations
Location: Salt Lake City
Posted on: November 1, 2024
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Job Description:
A company is looking for a Compliance Analyst - Registration to
process registration requirements for registered representatives
and associated persons of affiliated broker-dealers.
Key Responsibilities:
Assist candidates with onboarding and registration requirements
Process FINRA filings, including U4s, amendments, and U5
terminations
Serve as a key resource for clients and representatives regarding
registration matters
Required Qualifications:
Bachelor's degree or equivalent work experience
Minimum 1 year of relevant work experience, preferably in financial
services
Experience with standard office and regulatory software
preferred
Ability to prioritize and meet multiple deadlines
FINRA licenses preferred or ability to obtain within one year of
hire
Keywords: VirtualVocations, Salt Lake City , Compliance Analyst - Registration, Professions , Salt Lake City, Utah
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