What are the responsibilities and job description for the CONTRACTOR- Agent of Regulatory Registrations position at SoHo Dragon?
SoHo Dragon represents an investment bank with offices in New York, NY that is looking to hire an Agent of Regulatory Registrations for a contract opportunity.
Location requirement: Hybrid
RESPONSIBILITIES:
· Assist employees in obtaining proper registrations.
· Work with vendors in procuring training materials and classes for registration candidates.
· Prepare supervisory reporting to line managers and breach reporting to senior management.
· File various reports with regulators and marketplaces.
Profile
SKILLS AND QUALIFICATIONS:
Must Have:
· Minimum of 3 years direct experience in processing FINRA, NFA, SEC and SRO firm and agent regulatory registrations.
· Proficient in FINRA Gateway and NFA ORS systems.
· Required: Bachelor’s Degree.
· Strong office program knowledge, with special emphasis on Excel.
· Proficiency speaking and writing in English.
Nice to Have:
· Minimum 5 years' experience in a Bank, Broker Dealer or Futures Commission Merchant environment.
· Solid understanding of SRO rules for securities and futures licensing.
· Experience with Investment Advisor registration.
· Working knowledge of SEC EDGAR.
· Must be able to work effectively with other compliance officers and partners in the business lines and support functions.
· Other experience in compliance or legal field is a plus.
· Ability to multi-task and set priorities.
