Registrations Compliance Officer Jobs in New York NY

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.

(212) 216-0007