Registration Analyst
The Registration Analyst will be responsible for registering and maintaining registrations for the firm and all it registered reps with FINRA, NFA, Self regulatory organizations and state regulators.
RESPONSIBILITIES:
Responsible for registering and maintaining registrations for the firm and all of its registered reps with FINRA, NFA, Self-Regulatory organizations, and state regulators
process all requests to open exam windows, updates (residential addresses, disclosure amendments, and other business disclosures
Responsible for maintaining fingerprinting requirements based in NY, and/or Chicago, managing deficiencies
Maintain and monitor Continuing Education and Ethics training for securities and futures licensed personnel
Conduct annual desk reviews/investigations
Assist in the annual training of employees for NUSA employees
Responsible for monitoring the on-going training requirements for registered reps
Handle employee inquiries and communicate requirements relating to regulatory registrations, continuing education, and study aids
Perform other tasks as assigned by Manager of Department
Maintain knowledge of rule/regulation changes
Maintain book of all registrants related to registration, fingerprinting, ongoing training, and the scope of the various licenses.
REQUIRED SKILLS:
5 years of professional experience.5 years of FINRA, securities, and/or, NFA experience.
Previous experience with registration requirements related to FINRA, NFA, Self-regulatory organizations, and state regulators.
Strong customer service skills.
Strong organizational skills, with an attention to detail.
Series 3 and Series 7 registrations.
Strong written and verbal skills.
Extremely detailed approach.