• Creates and maintains filing system for Compliance department and files documentation as
• Provide timely and customized research and reference services by searching a broad range of
electronic databases, including the Internet and print sources.
• Contacts a range of resources, including internal sources, trade associations and/or
governmental bodies, etc. to answer a variety of queries received from industry oversight
regulators. The information is organized, summarized and presented in the format desired by
the requesting party.
• Individual will support the intake and catalog processing of books, serials, journals,
microfilm and other documents and reference materials including items to be catalogued in
original format and shelved.
• Conducts reviews of Registered staff and brokerage statements in compliance with company and
• Distributes and collects the Annual Certification for all staff of the firm as required by
• Monitors incoming mail to ensure compliant with internal and regulatory requirements.
• Maintains and updates the departments’ Compliance Calendar
• Additional duties as required