New job Regulatory and Registration Compliance Analyst New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Regulatory and Registration Compliance Analyst New York, NY Gerald Elliott posted a job: Regulatory and Registration Compliance Analyst New York, NY "Our client is a reputable privately owned FINRA member financial firm seeking an experienced compliance professional to handle regulatory reporting and registration activities. The candidate will also be responsible for the ongoing monitoring of registration and training related activities. The Compliance Analyst will monitor and ensure compliance with FINRA rules regarding registration (e.g., FINRA registration form submissions, fingerprinting, continuing education, electronic bluesheets, licensing and disclosure reviews). Responsibilities: * Responsible for FINRA and state securities registration and licensing of the firm and its personnel. This consists of processing Uniform Forms U-4 and U-5, Form BD, Form ADV and various state forms, handling registration renewals, coordinating study materials and classes, paying periodic fees and assessments and scheduling exams. * Manage firm’s activities with respect to the WEB CRD application. View and respond to WEB CRD queues and reports. Keep abreast of changes and updates within the CRD application and registration rules and statutes. * Correspond with regulators with respect to disclosure events (e.g., arrest records, disciplinary events) and waiver requests. * Responsible for monitoring and documenting completion of the regulatory element of the firm’s continuing education program. * Maintain the integrity of data in the firm’s internal compliance registration database. This includes running and reviewing reports and addressing deficiencies. * Maintain contact sheets and other FINRA administrative information. * Evaluate, maintain and distribute branch office information, assignment of registered representatives and supervisory structure of the firm. * Provide regular reporting to assist managers with their supervisory obligations. * Respond to electronic bluesheet requests. * Assist with regulatory reporting matters and filings. Qualifications: A minimum of five years relevant compliance experience with a broker-dealer. Must have working knowledge of FINRA and state registration requirements, experience with Web CRD and be familiar with branch office, supervisory and customer complaint requirements. Please submitt your resume at - info@compliancesearch.com"

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