Regulatory Registration & Reporting Analyst Job at Phyton Talent Advisors, New York, NY

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  • Phyton Talent Advisors
  • New York, NY

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.

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