Compliance Analyst, Registrations at TBG | The Bachrach Group

Job Description

Support the Head of Registrations with the management the Registrations function a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts.

Responsibilities

• Manage all employee licensing and registration activities for employees for the Broker-Dealer. Ensuring team processes timely updates to various filings with FINRA including Form U4, Form BR, 8R individual applications with the NFA and employee disclosures among others.
• Filing firm applications with the various regulators such as Form BD, Form ADV, and Form 7R applications with the NFA.
• Implementing and managing the continuing education. Monitoring registered persons progress and addressing issues with supervisory principals as necessary.
• Ability to manage and monitor registered persons reporting requirements for Quarterly Certifications such as Permissive Registrations Certifications and the Annual Compliance Questionnaire. Proficiency to address issues and report them to management as needed.
• Manage and improve the OBA process from initial input of the OBA to final approval.
• Review and update registration policies and procedures annually and/or as required by new or updated regulations.
• Ability to respond to Internal Audits and FINRA requests in a timely manner and the ability to interact with regulators and firm employees in a professional manner.

Skills/qualifications

• Minimum of 3-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.
• Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems.
• Experience with Investment Advisor and Canadian registration (desirable)
• Ability to work effectively with other Compliance Officers, other business lines, and support functions.
• Strong proficiency in office programs, with particular emphasis on Excel.