The Rosenthal Consulting Group provides human resource services focused on financial services like investment advisors and banks.
Experienced Registration / compliance professional responsible for Regulatory Reporting and Registration Activities for a FINRA member Investment Bank. The Registration Manager will monitor and ensure compliance with rules regarding registration for FINRA Registration, U.S. State, INSURANCE Licensing form submissions, including U-4, U-5, Disciplinary, Terminations, fingerprinting, continuing education filings as required.