Prepare annual filings with national and state securities regulators. Coordinate registrations and continuing education requirements for registered representatives which include filings, ordering study materials and scheduling tests. Assist with the administration and subsequent reporting of the Annual Certification process. Assist with deposit transactions into the FINRA CRD account for the broker dealer. Assist with filing annual Form ADV Parts 1 & 2 for the Advisory Companies. Assist with Code of Ethics program for all Access Persons.

I am a Senior Administrative Assistant to the Chief Compliance Officer and also responsible for supporting the Sales, Distribution and Service end of the Compliance Department. Other functions include preparing expense reports, scheduling appointments and meetings, making travel arrangements, maintaining and updating compliance reports and other duties as assigned.

Handles A/P, A/R, Incoming and outgoing phone calls, bid preparation, processing of letters using Word, payroll, Utilizing Quickbooks for all of the accounting functions of the company, filing, and any other duties that arise.

• Handles compliance and registration needs for 150 Registered Representatives all over the country.• Review and submit advertising for home office approval.• Assist with scheduling and preparing all documentation for the OSJ annual Supervisory Visits.• Update and maintain Salesforce database with information pertaining to our Registered Representatives.• Assemble and mail Registered Representatives Welcome Kits to new recruits.• Assist in completing and submission of Registration packets for new Registered Representatives/Advisors and Admins to the broker dealer for review.• Retention of compliance books and records after principal/home office review.• Administrative duties in ensuring Registered Representative completion of various requirements.• Resolve outstanding issues following broker dealer audits and OSJ supervisory visits.• Submit compete Supervisory Visit Reports to various archival systems.• Field phone support for compliance and registration.• Primary operator for phone system.• Opening, sorting, scanning and distribution of all mail.• Assist other staff personnel as necessary with special projects.