Obtaining and maintaining registrations / certifications - regulatory and exchange for associates in various jurisdictions across all lines of business including;
- On boarding; initial registration / certification, assessing examination requirements, organising and managing study materials, managing failures, Managing Do Not Deal notifications
- Disclosure management
- Ensuring timely/accurate responses to inquiries; provide advice and guidance on various registration related issues, including upcoming changes in UK Registration Regulations
- Liaison with Senior LOB Executive Management, Senior LOB Compliance Executives and Managers, and coordinate with HR, Legal, Background Screening and other support areas
- Meeting team productivity standards
- Providing telephone support as needed
- Identification of and participation in process improvement and regulatory change projects;
- Working with lines of business and external partners on special projects. Including attendance at internal working forums.
- Variety of monitoring and testing
- Reporting to LOB's across Jurisdictions.
- Accurate record keeping and regular reconciliation of registered associates
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