SMBC Group is a top-tier global financial group with a diverse range of financial services. The Registrations Analyst will be responsible for executing the registrations process, including individual and firm registrations, employee lifecycle management, and continuing education program management.
Responsibilities
- Prepare U4, U5, BD and BR filings, Monthly Safe Harbor filings
- Maintain associated persons (“AP”) list, licenses and supervisory reporting map
- Review workflow queues and reports, e.g., FINRA Web CRD
- Process fingerprinting and background check procedures
- Coordinate study materials and regulatory examination preparation
- Other duties as required
Skills
- Undergraduate degree required
- Approximately 1-3 years of relevant broker-dealer compliance and/or registrations experience, preferably within a financial services firm
- Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting
- Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs
- Excellent written and verbal communication skills
- Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics
Benefits
- Annual discretionary incentive award
- Competitive portfolio of benefits
Company Overview
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