Assist in drafting and maintaining FINRA Forms and Filings (e.g., U4, U5, BR, and BD). Monitor exam status reports and follow-up with registered representatives pending examinations. Assist with annual FINRA/States registration renewals. Assist in scheduling FINRA exams, fingerprints, and ordering study materials. Assist with drafting FINRA licensing waiver requests and FINRA review of trading requests. Coordinate with compliance team members to assess FINRA registration requirements. Track FINRA continuing education requirements and escalate when necessary. Maintain list of branch offices and BD/IA affiliates. Create and maintain complete records for each registered representative and FINRA Gateway user accounts. Research applicability of FINRA licensing rules to the firm. Review registered representative disclosures and correct licensing deficiencies. Develop and maintain FINRA licensing policies, procedures and controls to ensure adherence to laws, regulations and firm standards. Qualifications include proficiency in FINRA licensing and registrations and a working knowledge of FINRA Gateway, Bachelor's degree or equivalent, 2+ years of working experience ideally at a major financial services firm in compliance, proficiency in Microsoft-based software products including Word, Excel, and Outlook, strong commitment to providing excellent customer service, strong analytical skills, attention to detail, and multitasking skills, and ability to work well independently while collaborating effectively as part of a team. The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion.
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