• Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts. • Assist with new hire employee onboarding, FINRA pre-hire checks and tracking. • Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance. • Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person. • Order study materials for employees seeking to obtain FINRA licensing. • Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills. • Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements. • Periodically notify Supervisors of employee progress. • Monitor NFA Ethics Training due dates and notify employees to complete. • Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions. • Assist with the review of the Annual Compliance Meeting disclosures including employee work locations. • Assist with document production for regulatory exams, inquiries, and information requests. • Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures. • Assist with the development and/or implementation of project work to modernize compliance processes.