Office Status: Hybrid
- Manage the required processes for all registration types across the AD (i.e., backgrounds, fingerprinting, submission of Forms BD, BR, U4, U5 and amendments).
- Responsible for ongoing maintenance and administration of the regulatory registration process for the firm, branch offices, registered and permissively registered individuals. Registration includes the requirements for multiple entities, all in scope regulators and exchanges.
Manage required offboarding process for AD Registrations.
- Research and respond to regulatory inquiries related to disciplinary histories, terminations for cause, etc.
- Support all regulatory exams pertaining to Registrations.
- Create and maintain the Supervisory Map associating registered and permissively registered individuals with appropriate supervisors.
- Ensure supervision is properly being conducted, monitored in adherence with regulatory requirements.
- Create, maintain, distribute (as necessary) and manage all Registration training requirements for the AD.
- Administer supporting Registration systems (i.e., RegEd system) to facilitate completion of required forms and filings.
- Produce management and monitoring reports covering Registrations across the AD (including KRI’s, KPI’s, etc.).
- Accountable for integrating Registration program with key stakeholders (i.e., Business, HR, IT, Legal).
- Serve as the SME on Registrations across the AD.
- Lead efforts in transiting Registration, OBA and PI requirements across the AD into Central Employee Compliance.
- Provide senior level guidance, requirements and support for implementing strategic and centralized IT solution for Registrations across the AD (planning, analysis, configuration, integration, testing).
- Create and implement a central employee compliance program and supporting framework for Registrations across the AD.
- Manage the creation and roll out of central employee compliance policies, procedures and supporting processes with respect to Registrations, Outside Business/PI’s covering AD.
- Lead team in central employee compliance BAU focusing on Registrations, Outside Business/PI across AD.
- Manage and facilitate all training and communications covering Registrations across AD.
- Administer registration support for employees subject to regulators other than FINRA in areas such as: NFA (National Futures Association); NRD (national Registration database); OSC(Ontario Securities Commission; OBSI (Ombudsman for Banking Services & Investments); IIROC Services (Investment Industry Regulatory Organization of Canada.
- Minimum 10 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.