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Essential Duties and Responsibilities

+ Prepares and submits required documents for terminating the registration/association of registered and non-registered fingerprint associates in accordance with Firm procedures, industry standards and federal and state securities laws.

+ Responds to escalated internal inquiries and resolves registration/association termination-related issues with various regulatory agencies.

+ Maintains and retains termination-related documentation in Firm systems.

+ Oversees the submission of registration/association termination applications and other requests to the Financial Industry Regulatory Authority (FINRA) Gateway system.

+ Ensures that all FINRA, state and jurisdiction regulatory requirements concerning the termination of registration(s)/association(s) are met within required time frames.

+ Maintains currency in FINRA, SEC, state and jurisdiction rules and regulations regarding registration and fingerprint association.

+ Operates standard office equipment and uses required software applications.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Concepts, principles, and practices of registration/association termination.

+ Rules and regulations of FINRA, SEC, state and jurisdiction regulatory agencies.

+ Investment concepts, practices and procedures used in the financial services industry.

+ Principles of financial services industry operations.

+ Financial markets and products.

Skill in:

+ Preparing regulatory forms and processing and tracking large volumes of documents.

+ Responding to and resolving inquiries and issues regarding registration/association termination-related issues.

+ Maintaining termination-related documents and archiving records in Firm systems.

+ Entering large volumes of data into electronic systems accurately and efficiently to meet regulatory deadlines.

+ Handling multiple telephone lines.

+ Explaining complex registration/association termination-related issues to others.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Attend to detail while maintaining a big picture orientation.

+ Read, interpret, analyze, and apply information from various regulatory agencies.

+ Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

+ Interpret and apply Firm procedures and identify and recommend changes as appropriate.

+ Work under pressure to manage multiple tasks with changing priorities to meet regulatory deadlines in a fast-paced environment with frequent interruptions.

+ Communicate effectively, both orally and in writing.

+ Work independently as well as collaboratively within a team environment.

+ Handle stressful situations and provide a high level of customer service in a calm and professional manner.

+ Maintain confidentiality.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Increase knowledge of FINRA, SEC, state and jurisdiction rules and regulations regarding registration/association terminations.

Educational/Previous Experience Requirements

+ High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Appropriate qualification exam(s) for assigned functional area preferred.

+ Additional licensure/certification demonstrating the candidate’s knowledge/expertise in industry regulations and concepts preferred.