VP - Registrations and Licensing

Avesta Computer Services
Jacksonville, FL
10 Nov 2024

Vacancy expired!

Job Title: VP - Registrations and Licensing

Location: Jacksonville, FL

Type: Fulltime

Overview:The compliance department’s core functions support good compliance practices to prevent and detect violations of all applicable laws, rules, and principles that govern high standards of personal behavior and business conduct. Working closely with the Business, compliance professionals ensure that our risk-based program is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the compliance department seeks to manage compliance risk and deepen the culture of compliance through the development and management of strategies that are sustainable and increase the trust of our clients.

Your Key Responsibilities:
  • Provide support to various areas within bank by registering individuals/entities with FINRA and NFA and maintain accurate records
  • Perform all aspects of registration and file the appropriate documentation with regulators
  • File FINRA registrations for both individuals/entities and the broker-dealer in a timely manner
  • Determine disclosure obligations and take necessary actions for BD registrations
  • Work closely with other team members and assist when needed
  • Continue building skills by reviewing regulatory notices sent by regulators

Your Skills and Experience:
  • Extensive experience in finance, banking, and/or legal fields with experience managing in a fast-paced environment a concentration in compliance
  • Bachelor’s degree is required
  • Strong analytical skills with the ability to utilize different techniques to resolve problems
  • Excellent technical skills – you must be proficient in PC desktop applications (e.g. Microsoft Word, Excel, and Access) including importing and exporting of data, queries, edits, and reporting
  • Ambitious, driven self-starter with excellent interpersonal and communication skills, a focus on teamwork and the ability to engage senior members of management throughout the Bank
  • ID: #22495737
  • State: Florida Jacksonville 32099 Jacksonville USA
  • City: Jacksonville
  • Salary: Depends on Experience
  • Job type: Permanent
  • Showed: 2021-11-10
  • Deadline: 2022-01-08
  • Category: Accounting/finance