Central Compliance Consultant

Temporary
  • Temporary
  • Remote

Madison-Davis

EXTERNAL CLIENT ROLE

Overview: 

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.

Responsibilities: 

  • 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

Qualifications 

  • 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.

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