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Cantor Fitzgerald: AVP, Registrations Analyst at Cantor Fitzgerald, BGC Partners, Newmark Grubb Knight Frank

Posted in Compliance 8 days ago.

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Type: Full Time
Location: New York, New York





Job Description:

REGISTRATIONS COMPLIANCE OFFICER

Responsibilities

* Handle the daily monitoring of FINRA Web CRD, IARD and NFA ORS Compliance

* File required FINRA form filings, U4, U5, BD, BR, 8-R, 8-T, etc.

* Collaborate with Legal and Human Resources to ensure appropriate reporting;

* Ensure compliance calendar is tracked and all regulatory filings and payments are timely made;

* Schedule regulatory license examinations and continuing education appointments

* Assist in the Firm s Firm Element Program with outside service provider

* Perform registration pre-hire checks and submit fingerprinting

* Order and track study materials

* Communicate with State and Regulatory agencies regarding registration filings.

DESIRED SKILLS AND EXPERIENCE:

* BA/BA

* Minimum of one year compliance experience with an SEC registered broker-dealer or financial services firm

* Experience evaluating and implementing compliance systems

* Strong analytical, attention to detail and issue-spotting skills

* Ability to communicate confidently and effectively

* Ability to work independently but still be a strong team player

* Substantial initiative, creativity and drive

* Knowledge of FINRA, NASD, NYSE, MSRB,CFTC and SEC Rules

* Strong verbal and written communication skills

* Strong knowledge of Microsoft Office.