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Registration Analyst
Work Model
📍 New York City Metropolitan Area
Employment
💼 Full-Time Direct
Recruitment Type
🛡️ Direct to HR Pipeline
📋 Role Overview & Responsibilities
RESPONSIBILITIES:Assist employees in obtaining required registrations.Collaborate with vendors to procure training materials and classes for registration candidates.Prepare supervisory reports for line managers and breach reports for senior management.File various reports with regulators and marketplaces.PROFILE REQUIREDDIVISION DESCRIPTION:The Compliance department serves as the Second Line of Defense for corporate banking, investment banking, and broker-dealer activities within the firm. Reporting on compliance risks and issues to local, regional, and head office management, the team provides guidance to business lines on relevant laws, rules, and regulations. This includes developing policies, procedures, training, and controls. The department oversees compliance with both external and internal regulations governing banking and financial activities, including but not limited to Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection. Additionally, it conducts trade and communications surveillance and manages transversal support functions that aid in achieving departmental goals.SKILLS AND QUALIFICATIONS:Must Have:Minimum of 3 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.Proficiency in FINRA Gateway and NFA ORS systems.Bachelor’s Degree required.Strong proficiency in office programs, with particular emphasis on Excel.Proficient in speaking and writing English.Nice to Have:Minimum of 5 years of experience in a Bank, Broker Dealer, or Futures Commission Merchant environment.Solid understanding of SRO rules for securities and futures licensing.Experience with Investment Advisor registration.Working knowledge of SEC EDGAR.Ability to work effectively with other compliance officers, partners in business lines, and support functions.Additional experience in the compliance or legal field is a plus.Ability to multitask and prioritize effectively.
Frequently Asked Questions
How do I apply for the Registration Analyst position at LevelUP HCS? ▼
Click the “Apply for this Position” button on this page to submit your application directly to LevelUP HCS without recruitment intermediary fees.
Is this position eligible for remote work or visa sponsorship? ▼
This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
Are there any candidate fees on Hirely? ▼
No. Hirely is completely free for candidates. We never charge registration fees or placement fees.
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