Responsibilities:
- Completing and Updating Form U4 registration filings.
- Initiate and complete custodian access and rep code set up.
- Monitor and track renewals for Advisors.
- Oversee compliance in regard to personal trading, gifts & entertainment, etc.
- Conduct periodic audits of data and documents to ensure key information is retained.
- Execute compliance program testing of policies and procedures.
- Review and/or audit marketing materials and presentations.
- Assist with information security and privacy-related initiatives.
Qualifications:
- Bachelor's degree in business, finance or similar field required. Additional certifications and/or education a plus.
- Previous experience in financial compliance required.
- Ability to stay abreast of current best practices and emerging compliance regulations.
If you are interested in learning more, please email a copy of your resume to p.haywood@hamylnwilliams.com
