compliance officer
Company: Collabera
Location: Jersey City
Posted on: May 3, 2025
|
|
|
Job Description:
Responibilities:
If you are considering sending an application, make sure to hit the
apply button below after reading through the entire
description.
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.
Keywords: Collabera, Jersey City , compliance officer, Other , Jersey City, New Jersey
|
Click
here to apply!
|
