compliance officer
Company: Collabera
Location: Jersey City
Posted on: May 3, 2025
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Job Description:
Responibilities:
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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, Middletown , compliance officer, Other , Jersey City, Connecticut
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