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.