Registration and Onboarding Specialist

Perks

• Fertility benefits
• Parental leave
• Learning & more
• Wellness, learning, and more
• Mental health benefits
• 401(k) matching
• Equity ownership
• Paid time off
• 100% paid health insurance

What you'd do

1. 01Support the regulatory filing needs of FINRA Members (Form BD, Form BR, etc.)
2. 02Filing Form U-4, Form U-5, and Amendments
3. 03Filing Form NRF and NRF Amendments
4. 04Collect and ensure documentation is retained for Associated Person employee files for compliance w/ SEC Rule 17a-3(a)(12)
5. 05Assist with MyComplianceOffice tasks relating to Associated Persons requirements