Regulatory Reporting Coordinator
This position supports the insurance licensing and securities registration activities of the Firm and its registered persons. Licensing & Registration professionals play a critical role in insuring compliance with state and federal regulations.
- Manage responses to State and SRO Inquiries/Letters.
- Respond to in depth licensing and registration inquiries via phone and email.
- Manage disclosure filings with FINRA, NFA and Departments of Insurance for the Firm and its associated persons, including Rule 4530 disclosures and Outside Business Activity reporting.
- Review and respond to FINRA RAPP Report Notifications (Arrest Records).
- Review and monitor Background Questionnaires (Insurance).
- Manage Firm’s periodic Background Investigation Sweep (Rule 3110).
- Manage Web CRD Disclosure Queues in FINRA Firm Gateway, including disclosure letters.
- File, maintain, and perform periodic review of Branch Offices with FINRA, NFA and Departments of Insurance.
- Manage state specific branch licensure requirements with the Depts. of Insurance (CA, FL, GA, KS, LA, ME, MA, MI, MO, NV, NJ, NY, OK, OR, SD, TX and WA).
- Manage state law changes impacting licensing & registration processes, including Regulatory Notices.
- Participate, as needed, in firm sponsored working groups around regulatory changes and various other hot topics.
- Assist Chief Compliance Officer, as needed, in various projects around regulatory change.
- Management of all Alternate Work Arrangements (PTLs) for registered personnel.
- Track Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance.
- Assist with preparing and maintaining licensing & registration internal desk procedures, and written supervisory procedures for the Department.
- Maintain accurate license and registration records in the Firm’s Licensing Database.
- 5+ years of experience in financial services; minimum 3 years of experience in licensing & registration required.
- College degree or equivalent industry related experience required.
- Knowledge of SRO and State Securities Registration requirements.
- Knowledge of Corporate and Individual Producer Licensing requirements (Insurance).
- Knowledge of Investment Advisor Registration requirements.
- Knowledge of National Futures Association requirements for Introducing Broker-Dealers.
- Proficient in Microsoft Office Excel and Outlook
- Strong communication skills; ability to write, review and edit professional documents, letters, and emails.
- Exceptional organizational skills.
- Strong analytical skills.
- Ability to work independently and as part of a team.
- Able to multi-task and prioritize work in a fast-paced environment.
Janney is dedicated to promoting and supporting diversity within our workplace. We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.
- Pay Type Salary
- Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America