•	Maintaining Compliance related files
•	Updating and amending Written Supervisory Procedures, Compliance Manual, and 
Management Check List *
•	Verifying trades of Brokers under Special Supervision
•	Review and management of all incoming and outgoing correspondence, including 
email surveillance *
•	Registering Brokers and amending form U4’s on Web CRD (Central Registration 
Database) 
•	Scheduling employees for securities license exams and Continuing Education
•	Completing new employee profiles and reviewing background checks
•	Organizing customer complaints for review and submission to FINRA
•	Updating Firm Roster; Organizational Chart*
•	Maintaining Due Diligence files on broker recommended stocks that are now trading 
on the exchanges or other major stock indexes *
•	Reviewing and monitoring employee accounts at other Firms- review and file 
statements*
•	Distributing and reviewing Quarterly Broker Questionnaires *


* Note: Done with final review and approval by registered Principals in Compliance and/or 
other Management individual