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Senior Analyst - Licensing & Registration

3 - 4 yrs
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Not Disclosed by Recruiter Posted 28 days ago Job Applicants: 47 Job Views: 591

Job Description

 
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    This is a critical position to help ensure the effective and timely management of U.S regulatory (FINRA) queue and State inquiry monitoring. The person will generate reports for State Licensing and Business partners. In addition, the person will do case set up, Corporate Other Business activities database updates and U4 amendments.

    * FINRA queue & notice monitoring approved registrations, scheduled exams and expired disclosures.
    * Generating established reports for State Licensing, Business Partners and Senior Management.
    * Garnishment review and job posting reviews initial review and database updates.
    * FINRA and State inquiry monitoring, case set-up and analyst assignment.
    * Corporate OBA processing database updates and U4 amendments.
    * Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.


    * 3-5 years of relevant experience.
    * Strong excel skills.
    * Effective at multi-tasking and meeting deadlines.
    * Ability to effectively and simultaneously manage multiple priorities.
    * Excellent analytical and research skills.




    14342BR

Salary: Not Disclosed by Recruiter

Industry: Banking, Financial Services, Broking

Functional Area: Legal , Regulatory , Intellectual Property

Role:Apprentice/Intern

Employment Type: Permanent Job, Full Time

Keyskills

Senior Analyst - Licensing & Registration Legal General

Desired Candidate Profile

    This is a critical position to help ensure the effective and timely management of U.S regulatory (FINRA) queue and State inquiry monitoring. The person will generate reports for State Licensing and Business partners. In addition, the person will do case set up, Corporate Other Business activities database updates and U4 amendments.

    * FINRA queue & notice monitoring approved registrations, scheduled exams and expired disclosures.
    * Generating established reports for State Licensing, Business Partners and Senior Management.
    * Garnishment review and job posting reviews initial review and database updates.
    * FINRA and State inquiry monitoring, case set-up and analyst assignment.
    * Corporate OBA processing database updates and U4 amendments.
    * Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.


    * 3-5 years of relevant experience.
    * Strong excel skills.
    * Effective at multi-tasking and meeting deadlines.
    * Ability to effectively and simultaneously manage multiple priorities.
    * Excellent analytical and research skills.

Education-

UG: Any Graduate - Any Specialization

PG:Post Graduation Not Required

Company Profile:

Ameriprise

This is a critical position to help ensure the effective and timely management of U.S regulatory (FINRA) queue and State inquiry monitoring. The person will generate reports for State Licensing and Business partners. In addition, the person will do case set up, Corporate Other Business activities database updates and U4 amendments.

* FINRA queue & notice monitoring approved registrations, scheduled exams and expired disclosures.
* Generating established reports for State Licensing, Business Partners and Senior Management.
* Garnishment review and job posting reviews initial review and database updates.
* FINRA and State inquiry monitoring, case set-up and analyst assignment.
* Corporate OBA processing database updates and U4 amendments.
* Manage multiple and changing priorities, expectations and concerns while working closely with the business partners in a focused and responsive manner.


* 3-5 years of relevant experience.
* Strong excel skills.
* Effective at multi-tasking and meeting deadlines.
* Ability to effectively and simultaneously manage multiple priorities.
* Excellent analytical and research skills.




14342BR
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