Posted in Compliance 8 days ago.
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Type: Full Time
Location: New York, New York
REGISTRATIONS COMPLIANCE OFFICER
* Handle the daily monitoring of FINRA Web CRD, IARD and NFA ORS Compliance
* File required FINRA form filings, U4, U5, BD, 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 FINRA, NASD, NYSE, MSRB,CFTC and SEC Rules
* Strong verbal and written communication skills
* Strong knowledge of Microsoft Office.