Registrations Officer

Full Time

Trading Firm Client

Office Status: Hybrid

Our client is looking for a Registrations Associate to join their growing Legal and Compliance team. This person will be a core part of our registrations team and be responsible for overseeing the registration process from start to finish.

Specific responsibilities of this role will include:

  • Processing U-4s, U-5s, and any requirement amendments for employees of several broker-dealer entities
  • Managing WEB CRD queues, reports, and information
  • Developing and producing reports to assist with supervision and compliance purposes
  • Processing and managing employees’ fingerprints and background checks
  • Managing representative tracking system
  • Working with the business and compliance teams to maintain a supervisory list
  • Researching and responding to regulatory inquiries related to disciplinary histories, terminations for cause, etc.
  • Coordinating and assisting with study materials, classes, and regulatory examination preparation
  • Coordinating the submission of BD/ADV entity filings for disclosure-related matters with various regulators such as FINRA

Job Requirements

  • Undergraduate degree required
  • 3+ years of relevant experience required
  • Ability to navigate FINRA Web CRD
  • Proactive and self-motivated with strong organizational, interpersonal, and written communication skills
  • Understanding of FINRA, SEC, and state registrations skills
  • Excellent computer skills, including Excel
  • Strong attention to detail and the ability to handle competing priorities and work effectively in a challenging, fast-paced environment
  • Fluency in English required
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