Compliance Officer, Registrations

Responsibilities

• Manages and oversees the complete employee registration lifecycle, including onboarding, amendments, terminations, transfers, and associated disclosures.
• Ensures timely and accurate completion of regulatory filings such as Form U4, U5,  , and related submissions in FINRA Gateway, NFA ORS, and other applicable registration systems.
• Monitors registration and licensing requirements for covered employees, ensuring compliance with jurisdictional, product, and role‑specific rules.
• Conducts regular reviews of employee registrations to confirm completeness, accuracy, and adherence to regulatory obligations.
• Oversees continuing education requirements, including FINRA Regulatory Element and Firm Element training.
• Serves as the primary point of contact for employees, managers, HR, and regulators regarding registration inquiries, licensing statuses, regulatory exams, and qualification pathways.
• Coordinates with internal partners to determine appropriate registration categories and manages prerequisite exams and training.
• Tracks regulatory changes related to registrations and proactively updates internal procedures, controls, and communications.
• Prepares and maintains documentation related to registration audits, exams, and regulatory reviews.
• Builds effective professional relationships with business line, other internal/external stakeholders and regulators.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements.
• Analyses and reports compliance information to Compliance and business/group management.
• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Advises first line of defense management and employees on compliance matters.
• Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
• Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
• Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.
• Works independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.

• Typically between 3 - 5 years of experience in regulatory compliance, preferably within a broker‑dealer or similar financial services environment.
• Direct experience administering employee registrations with FINRA, NFA, and/or SEC, including completing and managing Form U4/U5 filings and registration amendments.
• Strong understanding of U.S. securities and derivatives regulations, including FINRA rules and registration categories, NFA and CFTC registration requirements, and SEC regulatory framework for registered representatives.
• Experience with regulatory systems such as FINRA Gateway, NFA ORS, WebCRD, and CE systems.
• Experience conducting compliance monitoring, testing, risk assessments, or controls evaluation.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint) and ability to learn specialized compliance systems.
• Strong attention to detail in evaluating filings, controls, and compliance reporting.
• Clear and concise communicator, able to explain regulatory concepts to business partners, management, and employees.
• Builds effective partnerships with HR, Legal, Risk, Operations, and frontline management.
• Highly organized with the ability to manage multiple deadlines, particularly for time‑sensitive regulatory filings.
• Takes ownership of tasks from initiation through completion with minimal supervision.
• Operates effectively in high‑pressure, high‑scrutiny environments with changing priorities.
• Proficient…