Registrations Compliance Officer
New York, NY
- Handle the daily monitoring of Client Web CRD, IARD and NFA ORS Compliance
- File required Client form filings, U4, U5, Client, BR, 8-R, 8-T, etc.
- Collaborate with Legal and Human Resources to ensure appropriate reporting;
- Ensure compliance calendar is tracked and all regulatory filings and payments are timely made;
- Schedule regulatory license examinations and continuing education appointments
- Assist in the Firm's Firm Element Program with outside service provider
- Perform registration pre-hire checks and submit fingerprinting
- Order and track study materials
- Communicate with State and Regulatory agencies regarding registration filings.
Desired Skills and Experience:
- Minimum of one year compliance experience with an SEC registered broker-dealer or financial services firm
- Experience evaluating and implementing compliance systems
- Strong analytical, attention to detail and issue-spotting skills
- Ability to communicate confidently and effectively
- Ability to work independently but still be a strong team player
- Substantial initiative, creativity and drive
- Knowledge of Client, NASD, NYSE, MSRB, CFTC and SEC Rules
- Strong verbal and written communication skills
- Strong knowledge of Microsoft Office.