Job Description

Immediate need for a talented Registrations Compliance Officer . This is a 06+ Months Contract opportunity with long-term potential and is located in Jersey City, NJ (Onsite) . Please review the job description below and contact me ASAP if you are interested.

Job ID:25-68691

Pay Range: $100 - $110/hour. Employee benefits include, but are not limited to, health insurance (medical, dental, vision), 401(k) plan, and paid sick leave (depending on work location).

Key Responsibilities:

• Registrations Compliance is responsible for maintaining accurate and complete FINRA and CFTC/NFA registration for Registered Representatives of the Client’s Securities Corp and the swap dealer(s). In addition, ensuring the appropriate corporate filings and reporting obligations are timely satisfied.
• Provide advice/guidance on registrations/licensing requirements, processes and procedures
• Timely process Form U4, U5, 8R and 8T. Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.
• Prepare waiver/exemption letters for qualified representatives as needed.
• Coordinate/process Form BD/Form 7R filings/amendments on behalf of broker dealers/FCM/swap dealer.
• Track/monitor pending exams for employees required to be licensed. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.
• Ability to navigate FINRA Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing System
• Partner with the various departments on initiatives, projects, policy, procedure development and issue resolution to mitigate risk.
• Develop/enhance policies, procedures and processes to comply with the regulations - SEC, CFTC, FINRA, NFA, state jurisdictions and other Self-Regulatory Organizations
• Participate in industry working groups/organizations (e.g. SIFMA, Association of Registration Mgt), attend networking events and conferences leveraging information to drive optimal issue resolution.
• Responsible for notifying registered representatives of their regulatory element continuing education requirement and NFA Ethics Training.
• Maintain log of registered representatives’ completion and send reminder notifications to reg. rep., supervisors and compliance officers.
• Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.
• Notify all representatives registered as Associated Persons/Swap APs on behalf of the Client’s Securities Corp. with the National Futures Association of their ethics training requirements.
• Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue requirements.
• Work closely with Americas Compliance Training team to identify registered employees who are required to satisfy Firm Element training requirements.
• Regulatory Reporting/Filings: Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations.
• Notify the appropriate departments when regulatory filings are required/due.
• Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators.
• Coordinate/submit FINRA 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure Reports; swap dealer/FCM annual CCO reports.

Key Requirements and Technology Experience:

• Skills- Registrations/Licensing, Filings, Compliance, Form U4, U5, 8R and 8T.
• BA or BS required.
• Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.
• Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.
• Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.
• Strong organizational and project management skills and attention to detail.
• Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
• Team player and ability to work collaboratively across the platform.
• Ability to understand implications of new regulations and to apply regulations to varying “real world” situations.

Our client is a leading Banking and Financial Services Industry and we are currently interviewing to fill this and other similar contract positions. If you are interested in this position, please apply online for immediate consideration.

Pyramid Consulting, Inc. provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

By applying to our jobs you agree to receive calls, AI-generated calls, text messages, or emails from Pyramid Consulting, Inc. and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here .

Job Tags

Similar Jobs