Regulatory Advisor

 
Location: Baltimore, Maryland
Posted On: 8/10/2017
Job Code: 3439
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Job Description
 
Description
Located at 100 South Charles Street

Division: Legal and Compliance

Top skills: Attention to detail, ability to learn multiple functions quickly, and ability to work effectively in a team environment
Securities or investment advisory regulatory experience a plus as is experience with filing Forms (Form U-4 and U5) and the NFA (Form 8R and 8T).
Temp required to assist with processing filings related to exam qualifications/registrations and to assist the Registration team in reviewing pre-hire qualification information, exam requests, filing amendment requests, and filing terminations with our regulators until the transition to another team is completed.
Category:IT  code:new
 
 
Job Requirements
 
 
Temp required to assist with processing filings related to exam qualifications/registrations and to assist the Registration team in reviewing pre-hire qualification information, exam requests, filing amendment requests, and filing terminations with our regulators until the transition to another team is completed.
 

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Contact Details
 
Recruiter
Payal Ingle
 
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