Registration Compliance Officer

Title: Registration Compliance Officer

Location: Jersey City, New Jersey

Pay rate: $600 to 840/day W2

Contract: 6 Months

Hybrid: 3 days office and 2 days WFH

Business Overview

The Registrations Compliance team supports (U.S. SEC/Client registered broker-dealer; NFA/CFTC registered futures commission merchant/swap firm; holds memberships with various principal U.S./Non-U.S. Exchanges/Regulators) and its registered personnel from a licensing and registration perspective. In addition, the team supports (CFTC registered swap dealer) from an entity perspective and registration of its principals. The team collaborates closely across all business lines to ensure the firm and its registered employees are satisfying their regulatory obligations.

Responsibilities

Registrations Compliance is responsible for maintaining accurate and complete Client and CFTC/NFA registration for Registered Representatives of BNP Paribas Securities Corp and the swap dealer(s). In addition, ensuring the appropriate corporate filings and reporting obligations are timely satisfied.

• Provide advice/guidance on registrations/licensing requirements, processes and procedures
• Timely process Form U4, U5, 8R and 8T. Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.
• Prepare waiver/exemption letters for qualified representatives as needed.
• Coordinate/process Form Client/Form 7R filings/amendments on behalf of broker dealers/FCM/swap dealer.
• Track/monitor pending exams for employees required to be licensed. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.
• Ability to navigate Client Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing System
• Partner with the various departments on initiatives, projects, policy, procedure development and issue resolution to mitigate risk.
• Develop/enhance policies, procedures and processes to comply with the regulations - SEC, CFTC, Client, NFA, state jurisdictions and other Self-Regulatory Organizations
• Participate in industry working groups/organizations (e.g. SIFMA, Association of Registration Mgt), attend networking events and conferences leveraging information to drive optimal issue resolution.
  
  

Minimum Required Qualifications:

• BA or BS required.
• Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.
• Strong knowledge of US registration rules and regulations, especially those of the SEC, Client, CFTC/NFA and U.S. state jurisdictions.
• Strong organizational and project management skills and attention to detail.
• Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
• U.S. registration and licensing experience a plus.