Summary

Director is responsible for overseeing and executing activities for FINRA Broker Dealer and Swap Dealer registrations and advising the Business Units and supports on FINRA Registration and Swap Dealer registrations required based on covered activities. This person will also be responsible for maintaining and monitoring adherence to the firm’s compliance program and priorities.

Key Responsibilities

·         Assist personnel in filing the FINRA U4, Non-Registered Fingerprint and Swap Associated Person designations

·         Maintain entity level registration form pertaining to the Broker Dealer (i.e., Form BD and Form BR) and to the Swap Dealer

·         Maintain personnel registration records in internal systems including exam dates and completion status

·         Complete Compliance new hire and termination tasks for the Broker Dealer and Swap Dealer including processing the Form U5

·         Process pre-hire regulatory checks to validate employee history and disclosures 

·         Facilitate the fingerprinting process in coordination with external vendor and order study materials for securities qualification exams

·         Monitor the completion of the FINRA Regulatory Element Continuing Education (CE) and produce key metrics and escalate to Supervisor

·         Identify and recommend necessary changes to enhance Registration processes (e.g., automation)

·         Respond to regulatory and internal inquiries and advise on regulatory registrations and designation required based on covered activities

·         Assist in preparing for and coordinating internal audit and regulatory exams 

Management and Reporting

Director in GMRC Registration team will report directly to the Head of Global Markets Regulatory Compliance Advisory in Americas.

Key Internal contacts

o    Human Resources Department

o    Operations Department (GSP)

o    Legal Department;

o    Audit Department;

o    Information Technology Department

o    Risk Department

Key External contacts

The Firm’s regulators, including but not limited to SEC, FINRA, NFA, CFTC, MSRB, other SROs and the different states 

Salary Range: $180k - $210k

Bachelor’s Degree

Desired: SIE and Series 7 and 24 (preferred) or ability to obtain within 1 year.
7-10 years prior FINRA Registration and NFA Swap Associated Person, including interaction with US regulators.

·         Attention to detail

·         Sound judgment

·         Ability to work in a team

·         Strong written and oral communication skills

·         Ability to interact with senior management

·         Ability to handle sensitive information with discretion

·         Working knowledge of securities products 

·         Proficient in Microsoft Office

·         Proficient knowledge of execution of task in FINRA Gateway and NFA Basic.