FINRA Regulatory & Registration Analyst

Rosenthal Recruiting; New York (NY); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Comprehensive benefits

Job summary

Rosenthal Recruiting seeks an experienced Registration/Compliance professional to handle Regulatory Reporting and Registration Activities for a FINRA member Investment Bank. The role involves monitoring registration and training activities while ensuring compliance with applicable regulations.

The ideal candidate will have at least two years of compliance experience, excellent communication skills, and a strong ability to work in a detail-oriented manner. The position is full-time based in Midtown New York, offering comprehensive benefits.

Qualifications

• Minimum of two years of compliance officer experience with a FINRA Member Broker-Dealer.
• Familiarity with U.S. state registration requirements.
• Ability to collaborate with colleagues and meet deadlines.

Responsibilities

• Manage activities related to registration and compliance requirements.
• Responsible for processing registration forms and coordinating study materials.
• Correspond with regulators regarding disclosure events and waiver requests.

Skills

Compliance officer experience

Knowledge of FINRA

Written and oral communication skills

Ability to maintain confidential information

Job description

Rosenthal Recruiting seeks an experienced Registration/Compliance professional to handle Regulatory Reporting and Registration Activities for a FINRA member Investment Bank. The role involves monitoring registration and training activities while ensuring compliance with applicable regulations.

The ideal candidate will have at least two years of compliance experience, excellent communication skills, and a strong ability to work in a detail-oriented manner. The position is full-time based in Midtown New York, offering comprehensive benefits.