Registration Manager

Broker Dealer, FINRA Member. Firm offices are in the United States (U.S). Investment Bank products, services are offered primarily to Corporate, Retail, Institutional clients.

Experienced Registration / compliance professional responsible for Regulatory Reporting and Registration Activities for a FINRA member Investment Bank. The Coordinator / Analyst will be responsible for monitoring of registration and training related activities.

This Registration position 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 
 

Responsibilities:

▪Manage activities with respect to WEB CRD application, FINRA, S.E.C. State, Insurance requirements for the Company and Employees. View, respond to WEB CRD queues, reports. Keep abreast of changes and updates within the CRD application, registration rules and statutes.

▪Responsible for FINRA and state securities registration and licensing of the firm and its personnel. This consists of processing Uniform Forms U-4 and U-5, Form BD, Form ADV and various state forms; registration renewals; coordinating study materials and classes; paying periodic fees and assessments and scheduling exams.

▪Correspond with regulators with respect to disclosure events (e.g., arrest records, disciplinary events) and waiver requests.

Working knowledge of FINRA and U.S. state registration requirements, experience with Web CRD and be familiar with branch office, supervisory and customer complaint requirements.

▪Undergraduate degree, preferred

▪Two years or more of compliance officer experience with a FINRA Member Broker-Dealer. Insurance Licensing, preferred

▪Ability to collaborate with colleagues and meet deadlines.
▪Highly organized and detailed oriented.
▪Excellent written and oral communication skills.
▪Ability to maintain confidential information.
 

This is a full-time permanent position. In addition to salary, the position will offer comprehensive benefits that are available to all Company employees. The Associate position has limits on travel, overtime, though requires work in the Midtown New York, NY office.

The Company is an equal opportunity employer and values diversity. The Company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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