li>Manage recurring licensing and registration obligations, including qualification exam administration, state registration reviews, annual FINRA Gross Assessment breakouts, Fidelity Bond renewals, Tennessee privilege tax filings, Illinois Designated Principal renewals, and FINRA Contact Renewal and Entitlement User Account certifications.
Manage projects to enhance broker‑dealer compliance processes, including overseeing related technology resources, driving timelines, coordinating cross‑functional stakeholders and vendors, and managing communications to ensure successful delivery of compliance initiatives.