Compliance Analyst - Registrations
Compliance Analyst - Registrations
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 70000 - 75000
1 Vacancy
Job Description
The Registrations Analyst is responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks. This person will be responsible for maintaining and monitoring adherence to the firms compliance program and priorities. College undergraduate degree with Microsoft suite of computer skills strong written and oral communications and ability to interact with senior management as needed. Needs to work from the office 4 days a week.
Key Responsibilities:
- Assist the Registrations Manager in handling registrations for all Jefferies U.S. entities and employees including regulatory form filings to FINRA NFA/CFTC CIRO OSC states and other SROs
- Complete Compliance new hire termination tasks and other Registrations tasks
- Process prehire check requests
- Handle fingerprinting and study materials
- Assist in handling FINRA Regulatory Element Continuing Education (CE) and IAR CE
- Handle internal requests and assist in preparing requirements for internal and regulatory audits
- Review Outside Business Activities (OBA) requests handle monitoring and reporting
- Help update policies and procedures
- Maintain Registration EFiles in depshare
- Complete other tasks as assigned by the Head of Registrations
Primary Location Full Time Salary Range of $70000.00 $75000.00.
Required Experience:
IC
Employment Type
Full-Time
