Registrations Compliance Officer

Software Guidance & Assistance, Inc., (SGA), is searching for a Registrations Compliance Officer for a CONTRACT assignment with one of our premier Financial Services clients in Jersey City, NJ .

Responsibilities :

• 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 BD/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 FINRA 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, FINRA, 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
• Responsible for notifying registered representatives of their regulatory element continuing education requirement and NFA Ethics Training.
• Maintain log of registered representatives' completion and send reminder notifications to reg. rep., supervisors and compliance officers.
• Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.
• Notify all representatives registered as Associated Persons/Swap APs on behalf of the firm with the National Futures Association of their ethics training requirements.
• Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue requirements.
• Work closely with Americas Compliance Training team to identify registered employees who are required to satisfy Firm Element training requirements.
• Coordinate/submit FINRA 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure Reports; swap dealer/FCM annual CCO reports
• Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due.
• Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators.

Required Skills :

• 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, FINRA, CFTC/NFA and U.S. state jurisdictions.
• Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.
• 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.
• Team player and ability to work collaboratively across the platform.
• Ability to understand implications of new regulations and to apply regulations to varying "real world" situations.

Preferred Skills :

• U.S. registration and licensing experience a plus.

SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.