Registrations Analyst
RIT Solutions, Inc.
Registrations Analyst
Duration: 6+ months
Location: 4 days a week onsite in NYC (local candidates only)
Role Overview
Our client, a top tier Management Consulting firm, is seeking a Registrations Associate , who will be responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks. This person will be responsible for maintaining and monitoring adherence to the firm's compliance program and priorities.
Key Responsibilities
Duration: 6+ months
Location: 4 days a week onsite in NYC (local candidates only)
Role Overview
Our client, a top tier Management Consulting firm, is seeking a Registrations Associate , who will be responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks. This person will be responsible for maintaining and monitoring adherence to the firm's compliance program and priorities.
Key Responsibilities
- ssist the Registrations Manager in handling registrations for all U.S. entities and employees, including regulatory form filings to Client, NFA/CFTC, CIRO, OSC, states, and other SROs
- Complete Compliance new hire, termination tasks, and other Registrations tasks
- Process pre-hire check requests
- Handle fingerprinting and study materials
- ssist in handling Client Regulatory Element Continuing Education (CE) and IAR CE
- Handle internal requests and assist in preparing requirements for internal and regulatory audits
- Review Outside Business Activities (OBA) requests, handle monitoring and reporting
- Help update policies and procedures
- Maintain Registration EFiles in depshare
- Complete other tasks as assigned by the Head of Registrations or designee
- Strong skills in Microsoft Office Suite
- Highly organized and detailed oriented
- Strong written and oral communication skills
- Can interact with senior management of the company
- Compliance experience with a Client Member Broker-Dealer Preferred
- Experience with Client Web CRD Preferred
- College Graduate
Vacancy posted 2 days ago
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