Compliance & Registrations Team Lead

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

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.