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Compliance Analyst - Registration

Company: VirtualVocations
Location: Salt Lake City
Posted on: November 1, 2024

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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