Related skills
onboarding finra licensing u-4 u-5📋 Description
- Support FINRA regulatory filings for Members
- File Form U-4, U-5 and NRF amendments
- Onboard and maintain Associated Person files per SEC 17a-3(a)(12)
- Coordinate fingerprinting and background checks with People Team
- Improve licensing and registration processes for quality and scalability
- Maintain SOPs and internal resources for registered personnel
🎯 Requirements
- Bachelor’s Degree in a related field
- 2+ years in Compliance or related Brokerage function
- Self-starter with ability to work independently
- Strong written/verbal communication and attention to detail
- High emotional intelligence (EQ)
- Eager to learn new tools and AI to increase impact
🎁 Benefits
- Challenging, high-impact work to grow your career
- Generous benefits including health insurance and dependents coverage
- 401(k) matching and equity opportunities
- Flexible benefits wallet for wellness and learning
- Life and disability insurance, fertility and mental health benefits
- Generous paid time off and holidays
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