Compliance Analyst, FINRA Registration

This range is provided by Mission Staffing. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$70.00/hr - $75.00/hr

Direct message the job poster from Mission Staffing

Our client, a leading multinational bank based in New York, NY, is seeking a Compliance Associate to assist with the Registrations 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 i.e.. fingerprint results, previous employer U5, signed U4, HR background checks, etc. Additional responsibilities include creating FINRA BD/IA user accounts, scheduling FINRA exams, fingerprints (NFA) and ordering study materials.

Candidates must be familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway.

Responsibilities Include:

• Create electronic employee folders (ensure proper documents are in the folders (fingerprint results, previous employer U5, snapshot, Arb. Clause, signed U4 and HR background checks).
• Create draft U4s (using HR background checks).
• Confirm information on initial and transfer U4s are verified and/or run partial background checks as needed.
• Research and correct licensing deficiencies.
• Prepare U4 amendments (change of address, name change, branch offices, outside business disclosures, exam windows, state registrations, etc.).
• Track Regulatory Element continuing education and escalate when necessary.
• Track exam status reports and follow-up with employees pending examinations.
• Assist in scheduling FINRA exams, fingerprints (NFA) and ordering study materials.
• Create and maintain the FINRA BD/IA user accounts.
• Assist with the TN professional privilege Tax filings, Nebraska Citizenship Verifications, and annual renewals.

Requirements:

• Familiar with FINRA licensing/registrations and working knowledge of FINRA Gateway.
• Degree from an accredited university
• 3+ years of job-related experience.
• Proficient computer skills in Microsoft-based software products including Word, Excel, and Outlook.
• Proactive and self-motivated with strong organizational, interpersonal, and written communication skills; and
• Provide excellent customer service, ability to multi-task, detail oriented, strong organizational and prioritization skills.

• Seniority level Associate

• Employment type
  
  Full-time

• Job function Finance

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