Analyst, Compliance Registrations - Jacksonville, FL, United States

Only for registered members Jacksonville, FL, United States

1 week ago

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Job summary

We are seeking a Compliance Analyst to join our team in Jacksonville, FL. This role is crucial in maintaining the firm's compliance with regulatory bodies.

Responsibilities

  • Monitor and maintain firm and individual registrations on FINRA Web CRD, IARD, and NFA ORS platforms.
  • Assist with the preparation and filing of regulatory forms,

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