Analyst, Compliance Registrations
Job Description
We are seeking a Compliance Analyst to join our team in Jacksonville, FL. This role is crucial in maintaining the firm's compliance with regulatory bodies. The ideal candidate will have a strong understanding of securities and futures regulations and be able to work collaboratively with various teams. They will assist in preparing and filing regulatory forms, tracking deadlines, and ensuring the firm's compliance calendar is up-to-date.
Responsibilities
• Monitor and maintain firm and individual registrations on FINRA Web CRD, IARD, and NFA ORS platforms.
• Assist with the preparation and filing of regulatory forms, including U4, U5, BD, BR, 8-R, 8-T, ADV, and 7-R.
• Collaborate with Legal, HR, and supervisory teams to meet Rule 4530 reporting and disclosure obligations.
• Help track deadlines and update the compliance calendar for timely regulatory filings and renewals.
• Support the opening of qualification exam windows, monitor exam activity, and maintain records.
• Assist with the firm's Continuing Education program by tracking module completion.
• Perform pre-hire registration checks, including background reviews and fingerprint submissions.
• Coordinate study materials for licensing exams and continuing education.
• Communicate with regulators to resolve registration issues and support inquiries.
• Draft correspondence to regulatory bodies under supervision.
Qualifications
• Bachelor's degree is required, with a preference for coursework or internships in compliance, finance, or legal studies.
• 0-2 years of experience in compliance, legal, or regulatory functions is preferred.
• Basic familiarity with securities and futures regulations is essential.
• Exposure to FINRA Gateway, NFA ORS, or EDGAR is an advantage.
• Strong organizational skills, attention to detail, and the ability to meet deadlines are crucial.
• Excellent written and verbal communication skills are required.
• Eagerness to learn and the ability to work independently and in a team are key attributes.
• Proficiency in Microsoft Office Suite (Excel, Outlook, Word) is necessary.
• High integrity, discretion, and professionalism are expected.
• A willingness to undergo training for specific platforms and regulations is beneficial.
