Registration Administration Temp in Plantation, FL at TradeStation

Date Posted: 9/12/2021

Job Snapshot

Job Description

Seeking a compliance support assistant with Broker/Dealer expertise for a Securities Industry Regulatory consulting firm to establish and/or maintain the compliance program for Broker/Dealer clients.

ESSENTIAL JOB FUNCTIONS:
  • Work closely on compliance matters with client personnel primarily at client locations
  • Assist broker- dealer ("BD") clients through regulatory registration, files, ensure accurate paperwork and file proper compliance with applicable regulatory requirements.
  • Perform ongoing monitoring of business partner activities to ensure consistency with regulatory requirements and applicable firm policies and procedures.
  • Assist in the carrying out of tasks in compliance with the policies and procedures related training and education
  • Assisting in the design and execution of monitoring activities to comply with the policies and procedures for the compliance department
  • Maintain documentation, tracking and evidence of reviews completed according to established protocol
  • Collaborating with business partners to resolve compliance issues.
  • Provide strong compliance support and execution with respect to all ad-hoc projects
  • Additional tasks and duties as assigned