Senior Registration Analyst

New York City, NY - USA

Monthly Salary: $ 95000 - 125000

Posted on: 10-09-2025

Vacancies: 1 Vacancy

Job Summary

Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team focusing on the day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees with licensing and registration matters including working with various regulators managing applications updating licenses overseeing terminations state registrations and related regulatory reporting.

Key Responsibilities:

Review and complete pre-hire Workday requests for potential new hires
Manage new hire onboarding processes for new employees: monitor fingerprint submissions review and distribute new hire documents (compliance manual brokerage account disclosure policy code of ethics affirmation) review background checks and advise on necessary exams
Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s Form BR/BD and NFA Form 8R/8T filings and any other required amendments
Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements
Manage FINRA Gateway queues reports and information requests
Provide reporting to business management supervision and compliance teams to ensure regulatory requirements are met
Research and respond to regulatory inquiries related to disciplinary histories terminations for cause etc.
Coordinate study materials and regulatory exam preparation for employees
Monitor and review email communications as part of compliance controls
Review and update registration policies and procedures annually and/or as required

Qualifications:

Bachelors degree in a related business field
3-5 years experience in registration licensing or compliance within a broker-dealer or investment adviser
Proactive self-motivated and highly organized
Strong interpersonal oral and written communication skills
Understanding of FINRA SEC and state registration/licensing requirements
Excellent computer skills (Excel Microsoft Office Suite Workday)
Skilled at managing multiple deadlines and prioritizing tasks
Proficient in regulatory platforms (FINRA Gateway CRD/IARD NFA ORS)
Demonstrated ability to adapt to regulatory changes and update policies accordingly
Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
Experience supporting audits and regulatory examinations related to registration and licensing

#LI-MB1

#LI-HYBRID

Compensation Details

The salary range for this role is $95000-$125000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but limited to relevant education qualifications certifications experience skills seniority geographic location business sector performance shift travel requirements sales or revenue-based metrics market benchmarking data any collective bargaining agreements and business or organizational needs. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance 401(k) life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.

Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .

Learn about the Applicant Privacy Notice.

Required Experience:

Senior IC

Key Responsibilities:

Review and complete pre-hire Workday requests for potential new hires
Manage new hire onboarding processes for new employees: monitor fingerprint submissions review and distribute new hire documents (compliance manual brokerage account disclosure policy code of ethics affirmation) review background checks and advise on necessary exams
Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s Form BR/BD and NFA Form 8R/8T filings and any other required amendments
Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements
Manage FINRA Gateway queues reports and information requests
Provide reporting to business management supervision and compliance teams to ensure regulatory requirements are met
Research and respond to regulatory inquiries related to disciplinary histories terminations for cause etc.
Coordinate study materials and regulatory exam preparation for employees
Monitor and review email communications as part of compliance controls
Review and update registration policies and procedures annually and/or as required

Qualifications:

Bachelors degree in a related business field
3-5 years experience in registration licensing or compliance within a broker-dealer or investment adviser
Proactive self-motivated and highly organized
Strong interpersonal oral and written communication skills
Understanding of FINRA SEC and state registration/licensing requirements
Excellent computer skills (Excel Microsoft Office Suite Workday)
Skilled at managing multiple deadlines and prioritizing tasks
Proficient in regulatory platforms (FINRA Gateway CRD/IARD NFA ORS)
Demonstrated ability to adapt to regulatory changes and update policies accordingly
Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
Experience supporting audits and regulatory examinations related to registration and licensing