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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 adeq...
May 2, 2025
Jersey City, NJ


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Compliance officer
Jersey City, NJ
May 2, 2025

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.
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Compliance officer
Collabera
Jersey City, NJ
May 2, 2025
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