What are the responsibilities and job description for the Compliance / Registrations Analyst position at TBG | The Bachrach Group?
Compliance / Registrations Analyst
Hybrid Role NYC Location Must live locally to NYC
No third parties
Job Description
Support the Head of Registrations with the management the Registrations function for Jefferies LLC a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts.
Skills/qualifications
Minimum of 3-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.
Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems.
Experience with Investment Advisor and Canadian registration (desirable)
Ability to work effectively with other Compliance Officers, other business lines, and support functions.
Strong proficiency in office programs, with particular emphasis on Excel.
