This job is expired.
Full Job Description
Responibilities:
- Provide advice and guidance on registration and licensing requirements, processes, and procedures.
- Process Form U4, U5, 8R, and 8T in a timely manner, ensuring new employees are adequately licensed.
- Prepare waiver/exemption letters for qualified representatives as needed.
- Coordinate and process Form BD/Form 7R filings and amendments for broker dealers and swap dealers.
Education:
- BA or BS degree required.
Job Information
Job Category:
Other
Spotlight
Employer
Related jobs
Assistant Superintendent
New Albany CC
About New Albany Country Club:
New Albany Country Club is in New Albany OH just northeast of Columbus. Designed by the "Golden Bear" Jack Nicklaus, New Albany C.C. is a 27-hole facility offering diffe...
Jul 15, 2025
New Albany, OH
Individual Giving Manager
Greater Yellowstone Coalition
Individual Giving Manager
Reports to: Directorof Development
Location: Bozeman, MT preferred; other regional offices considered(Driggs, ID; Jackson, WY; Cody, WY; Lander, WY; Fort Washakie, WY)
Super...
Jul 15, 2025
Bozeman, MT
Personal Banker
FirstBank
Now Hiring at our Summit County Locations Starting at $22 per hour (location dependent) To apply, visit efirstbank.com/careers Sign-On Bonus is subject to the terms and conditions outlined in the form...
Jul 15, 2025
Silverthorne, CO