Compliance Analyst
📋 Role Overview & Responsibilities
Our client, a global investment bank based in New York, NY, is seeking a Compliance Associate to assist with the Registration's department with all aspects of the FINRA licensing and registration’s process. This person will be tasked with creating electronic employee folders ensuring proper documents are in place including fingerprint results, previous employer U5, signed U4, and HR background checks. Additional responsibilities include creating FINRA BD/IA user accounts, scheduling FINRA exams, fingerprints (NFA) and ordering study materials. Candidates must have extensive experience with FINRA licensing/registrations and working knowledge of FINRA Gateway.
Requirements:Minimum of 3 years of direct experience in processing FINRA, NFA, SEC and SRO firm and agent regulatory registrations.Proficient in FINRA Gateway and NFA ORS systems.Bachelor’s Degree required Strong office program knowledge, with special emphasis on Excel.
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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