Specialist, Compliance Licensing
RBC Capital Markets, LLC
- Performed various Securities operations such as complete FINRA and NFA Pre-Hire background checks compiling and summarizing results for Compliance Officer's review, filed U-4 amendments with FINRA for address changes, work location changes, and adding or removing State Securities licenses.
- Responsible for Regulatory Organization Chart for Global Investment Banking Group, tracking regulatory supervision and exams for approximately 350 individuals using Visio.
- Processed Compliance Department FINRA & NFA accounts payables.