EXTERNAL CLIENT ROLE
Large Foreign Bank seeking a Compliance Professional for a central role within the Compliance Department. This role has primary responsibility for supporting a centralized Registrations compliance program. The resource will serve as supporting in the management of all aspects of the Registrations program (i.e., policies, procedures, on-boarding, maintenance, off-boarding, regulatory reporting). The role will work closely with business unit subject matter experts and compliance officers, Human Resources, IT, and vendors.
- Develop/enhance policies, procedures and processes to comply with the regulations – SEC, CFTC, FINRA, NFA, state jurisdictions and other Self-Regulatory Organizations
- Analyze US registration rules and regulations and provide guidance to business contacts and Compliance colleagues on registration requirements for different job functions and activities
- Assist in the day-to-day operational matters or special projects related to Registrations
- Coordinating the submission of registration application filings with FINRA, the NFA and the OSC (Form BD, Form PR, Form 7R, CPO-PQR, CTA-CPR, Form 33-109F5, Form U4, Form U5, Form 8R, Form 8T, Form 33-109F4)
- Assist in tracking and monitoring of pending exams and regulatory Element Continuing Education for registered employees and providing update to senior management.
- Prepare waiver/exemption letters for qualified representatives as needed
- Minimum of 7 to 10 years of Registration experience with a broker dealer/financial services firm in a similar role.
- Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.