Job Description

2 days ago Be among the first 25 applicants

Position: FINRA Registration Support Analyst

Location: South Jordan, UT

Pay Rate: $19.17/hr. On W2(No Benefits)

Contract: 12 Months

Description: The employee will be responsible for Client Registrations and Entitlement support. Support will include the processing of Client Registration requests and will be equally responsible to ensure Firm compliance with regulations governing the handling of these requests as well as WM 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.

Registrations

Key Responsibilities:

• Manage Client registrations requests for WM 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

Qualifications

Additional reporting support may also be required.

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

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Contract

Job function

• Job function

  Information Technology

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Job Tags

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