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Senior Analyst - Licensing & Registration

Keywords / Skills : Senior Analyst - Licensing & Registration

3 - 3 years
Posted: 2019-05-21

Industry
Banking/Financial Services
Function
Legal
Role
Other Legal/ Law
Job Type
Earliest joing date:
20th May 2019
Billing rate:

per year
Posted On
21st May 2019
Job Ref code
69585801
Job Description
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

About Company

Ameriprise
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