What are the responsibilities and job description for the Finance - Entry Level - Compliance - FINRA Registrations & Entitlement Support position at Northpointe Staffing Professionals?
The employee will be responsible for FINRA Registrations and Entitlement support. Support will include the processing of FINRA Registration requests and will be equally responsible to ensure Firm compliance with regulations governing the handling of these requests as well as Wealth Management Operational procedures. Employee will partner with CSG entitlements support to provide white glove service to call center staff ensuring staff are onboarded properly with the appropriate entitlements to firm systems.
Key Responsibilities:
Registrations:
• Manage FINRA registrations requests for Wealth Management Operations and work with Compliance and Registration Oversight to ensure adherence to regulatory policy
• Support required periodic reviews and maintenance of registration attributes (permissive, licenses, states, etc)
• Order materials for approved candidates
• Process invoicing for vendor and track payment
Entitlements:
• Ensure new employees are on-boarded with the appropriate systems and access to ensure day 1 effectiveness
• Monitor and report progress against entitlement review deliverables for WM Operations to risk leads
• Produce and monitor Daily and Monthly CSA Admin Reporting
• Security administration for vendor applications
• Troubleshoot entitlement concerns for CSG staff
Additional reporting support may also be required.
Qualifications:
Preferred candidates will possess a proficiency in Microsoft Excel, Word, and Outlook programs. Knowledge in Excel Macros via Visual basic is desired. Strong interpersonal skills are necessary as well as a proven ability to work effectively with all levels of employees.
• Strong written and verbal communication skills
• Attention to detail
• Able to perform efficiently in a fast-paced, changing environment, handling a wide variety of tasks
• Ability to prioritize work effectively
