Job Description

Our Client, a Global Investment Bank, is seeking a Regulatory Registration & Reporting Analyst in their New York, NY.

Responsibilities

• Assist employees in obtaining appropriate regulatory registrations.
• Coordinate with external vendors to procure training materials and schedule registration classes.
• Prepare and deliver supervisory reports for line managers and breach reports for senior management.
• Submit various reports to regulatory agencies and marketplaces.

Requirements

Must Have:

• Minimum 3 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.
• Proficiency in FINRA Gateway and NFA ORS systems.
• Bachelor’s Degree required.
• Strong knowledge of Microsoft Office programs, particularly Excel.
• Excellent verbal and written communication skills in English.

Nice to Have:

• At least 5 years of experience in a Bank, Broker-Dealer, or Futures Commission Merchant environment.
• Strong understanding of SRO rules related to securities and futures licensing.
• Experience with Investment Advisor registration processes.
• Familiarity with SEC EDGAR system.
• Ability to collaborate effectively with compliance officers, business line partners, and support functions.
• Prior experience in a compliance or legal setting.
• Strong multi-tasking and prioritization skills.

Job Tags

Similar Jobs