Compliance Registrations Consultant


International Banking Client

Office: Hybrid


  • 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
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