Registrations Compliance Officer

New York, NY

Posted: 01/18/2019 Industry: FIN Perm Job Number: 11777659

Responsibilities:
  • 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:
  • BA/BA
  • 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.

Nick LaPetina

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