What are the responsibilities and job description for the Registrations Analyst position at TheStaffed?
Our client is seeking a Registrations Analyst to support the Head of Registrations in maintaining firm and employee regulatory registrations and ensuring adherence to the firm’s compliance program. This role will assist with regulatory filings, continuing education requirements, and compliance-related documentation within a FINRA-regulated broker-dealer environment. The ideal candidate is highly organized, detail-oriented, and comfortable interacting with senior stakeholders.
Responsibilities & Qualifications
- Assist in managing registrations for U.S. entities and employees, including regulatory filings with FINRA, NFA/CFTC, CIRO, OSC, state regulators, and other SROs
- Support compliance tasks related to new hires, terminations, and registration updates
- Process pre-hire compliance checks and fingerprinting requirements
- Assist with FINRA Regulatory Element Continuing Education (CE) and IAR CE tracking
- Handle internal requests and prepare documentation for internal and regulatory audits
- Review and monitor Outside Business Activities (OBA) requests
- Maintain registration records and EFiles within internal systems
- Assist in updating policies and procedures related to registrations and compliance
- Support additional regulatory and compliance tasks as assigned
Requirements
- Bachelor’s degree required
- Strong proficiency in Microsoft Office Suite
- Highly organized with strong attention to detail
- Strong written and verbal communication skills
- Ability to interact professionally with senior management
- Compliance experience within a FINRA Member Broker-Dealer preferred
- Experience using FINRA Web CRD preferred