Under minimal supervision, and in accordance with regulatory requirements, coordinates and monitors individual registrations and locations in the Institutional Group. Resolves complex issues and questions.
As the Securities Registration liaison, work in conjunction with SROs and Capital Markets managers and contacts, Equity S&T Supervision, and Compliance.
Duties include, but are not limited to:
Proper registration of individuals as related to their responsibilities and activities.
Accurate Form BR filings – new offices, and ongoing maintenance of all data.
Timely and accurate updates of respective internal spreadsheets.
Ensure necessary information barriers and seating arrangements are implemented.
Track and coordinate internal moves
Annual state registration renewals.
KNOWLEDGE, SKILLS AND QUALIFICATIONS:
High School Diploma or equivalent, some college a plus.
Minimum 3-5 years related experience, securities reqistration experience preferred.
Series 7 required and Series 63 desired within 6 months of start date
Excellent customer service and communication skills
Stifel Nicolaus - 18 months ago