Compliance / Registrations Analyst

The Bachrach Group; New York (NY); On-site; USD 75,000 - 110,000; Full time

Job summary

The Bachrach Group in New York seeks a Compliance / Registrations Analyst to support the Head of Registrations and manage a small team in a FINRA member Broker-Dealer environment.

You will handle licensing, filings with FINRA/NFA, continuing education oversight, and regulatory reporting. Strong SRO knowledge and regulatory systems are essential for success in North American compliance operations.

Qualifications

• 3–7 years of direct experience in processing FINRA, NFA, SEC, and SRO registrations.
• Solid understanding of SRO rules for securities and futures licensing.
• Experience with Investment Advisor and Canadian registration (desirable).
• Ability to work with other Compliance Officers and support functions.
• Proficient in Excel and regulatory filing systems.

Responsibilities

• Manage all employee licensing and registration activities for employees for the Broker-Dealer.
• File firm applications with regulators (BD, ADV, 7R) with the NFA.
• Implement and manage continuing education; monitor progress of registered persons.
• Oversee quarterly certifications and annual compliance questionnaires.
• Improve the OBA process from input to final approval.
• Review and update registration policies and procedures annually.
• Respond to internal audits and FINRA requests; interact with regulators and staff.

Skills

Regulatory compliance

Excel proficiency

Regulatory reporting

Tools

FINRA Gateway

NFA ORS

Excel

Job description

Compliance / Registrations Analyst
Financial services New York Temp Jan 21, 2025

Job Description

Support the Head of Registrations with the management the Registrations function a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts.

Responsibilities

• Manage all employee licensing and registration activities for employees for the Broker-Dealer. Ensuring team processes timely updates to various filings with FINRA including Form U4, Form BR, 8R individual applications with the NFA and employee disclosures among others.
• Filing firm applications with the various regulators such as Form BD, Form ADV, and Form 7R applications with the NFA.
• Implementing and managing the continuing education. Monitoring registered persons progress and addressing issues with supervisory principals as necessary.
• Ability to manage and monitor registered persons reporting requirements for Quarterly Certifications such as Permissive Registrations Certifications and the Annual Compliance Questionnaire. Proficiency to address issues and report them to management as needed.
• Manage and improve the OBA process from initial input of the OBA to final approval.
• Review and update registration policies and procedures annually and/or as required by new or updated regulations.
• Ability to respond to Internal Audits and FINRA requests in a timely manner and the ability to interact with regulators and firm employees in a professional manner.

Skills/qualifications

• Minimum of 3-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.
• Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems.
• Experience with Investment Advisor and Canadian registration (desirable)
• Ability to work effectively with other Compliance Officers, other business lines, and support functions.
• Strong proficiency in office programs, with particular emphasis on Excel.

NY Headquarters
1430 Broadway, 13th Floor
New York, New York 10018

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