Description

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.

Key Responsibilities:

This is a key position as the effective and timely processing of Non and Registered Staff hirings. This is a critical position to help ensure the effective and timely management of U.S regulatory (FINRA) U4 and U5 Filings. In addition, the person will do case set up, onboard Field Staff i.e., Non-Registered & Registered staff, Field Transitions, Exam Request and U4 amendments.

FINRA U4 & U5 regulatory Filings

Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.

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