� Creates and maintains filing system for Compliance department and files documentation as
needed 
� 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
regulatory requirements 
� Distributes and collects the Annual Certification for all staff of the firm as required by
industry regulation 
� Monitors incoming mail to ensure compliant with internal and regulatory requirements. 
� Maintains and updates the departments� Compliance Calendar 
� Additional duties as required