Compliance Registrations Support

Temporary

International Bank

Office Status: Hybrid

JOB SUMMARY 

The primary responsibility of the Registrations support role is to assist with managing the regulatory registration process for the entire firm and its employees, associated training, and set up and oversight by supervisors. This role is a part of the Central Employee Compliance Registration, OBA and PAD function which centrally manages these areas across the bank to ensure the Bank meets its regulatory requirements.

Responsibilities: 

  • Knowledge of US securities and registration regulations as well as global registration requirements.
  • Thorough understanding and command of FINRA’s Firm Gateway and WebCRD applications, as well as all related regulatory filing forms; and the Global equivalents.
  • Familiarity with Reg Ed and employee compliance software are a plus.
  • Excellent interpersonal and communication skills (verbal and written).
  • Ability to work well independently or within groups.
  • Self-starter.
  • Willingness to be “hands on” approach.
  • Excellent organization skills.
  • High degree of attention to detail.
  • Ability to manage multiple tasks and deliver high quality work products with little to no guidance.
  • Ability to quickly adapt to changing tasks and workload.
  • Ability to persuade, influence and educate senior staff with a high degree of credibility

Qualifications 

  • Minimum 5 years of specialized experience in financial services;
  • Exceptional organizational and time management skills are essential for the role;
  • Excellent communicator in both the written and oral form;
  • Ability to create clear, convincing and well-organized presentations and communications;
  • Experience working for a non-U.S. bank highly desirable;
  • Bachelor’s Degree required.
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