Compliance Analyst

New York City, NY - USA

Monthly Salary: Not Disclosed

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

Title: Compliance Analyst
location: New York NY 10172
Duration: 12 months

Summary:
We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and Client Associated Persons ( AP) program components.

The Registration Team is part of the Employee Compliance Team and manages Nikko Americas Inc. related Client registrations and licensing process for the firm its branch offices and its associated persons. The registration team coordinates with relevant stakeholders in the first and second lines of defense in the execution of the registration processes including the identification of in-scope population submission of registration-related forms tracking of registered persons and supervisory assignment and ensuring the functional and control integrity of the process.

Responsibility:
Prepare U4 U5 Client and BR filings Monthly Safe Harbor filings.
Maintaithe n associated persons ( AP) list licenses and supervisory reporting map.
Review workflow queues and reports e.g. Client Web CRD.
Process fingerprinting and background check procedures.
Coordinate study materials and regulatory examination preparation.
Other duties as required.

Critical Job Knowledge And Core Competencies/Skills:
Understanding of vendor systems knowledge of Web CRD Gateway Form U4 U5 Client BR and reporting.
Proactive self-starter that is comfortable in being part of developing new programs and enhancing existing programs.
Excellent written and verbal communication skills.
Knowledge of core competencies across the Securities broker/dealer registrations and licensing rules.

Title: Compliance Analyst location: New York NY 10172 Duration: 12 months Summary: We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and Client Asso...