Able to use knowledge and skills to monitor advisory and brokerage assets, complete regulatory reporting and assist the firm in maintaining proper compliance with company policy, FINRA, SEC, and state regulatory rules with limited supervision. If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, as a part of our background check process, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA.