Springfield, IL21 days ago
Duties and Responsibilities:Analyzes and processes applications for registration of securities salespersons and Investment Advisers representatives; Reviews the filings, financial statements, and background history of applicants; Utilizes the Central Registration Depository (CRD) , the Investment Adviser depository, and other available sources to process, hold or deny registration; If there are any deficiencies, takes follow-up action as necessary; Processes fees associated with applications; Refers applications to enforcement if necessary. Requires knowledge, skill and mental development equivalent to the completion of four (4) years of college, with courses in accounting, finance, economics, business administration or business law and one (1) year of experience in securities analysis field, accounting and auditing, business administration or related investigatory field.