Registrations Analyst at Piper Sandler & Co. in Minneapolis, Minnesota

Job Description:

Piper Sandler is a leading middle market investment bank serving clients in the U.S. and internationally. The Firm is a leading financial advisory and capital markets firm that wins through deep sector expertise, candid advice and a differentiated, highly productive culture - enabling growth and success for our clients as well as rewarding careers for our employees.

Piper Sandler is currently seeking a Registrations Analyst in the Compliance department of our Minneapolis, MN office. The primary area of responsibility is to ensure that the security licensing requirements of Firm employees are met.

Responsibilities

Registrations:

• Perform pre-hire checks in the Industry's Central Registration Depository (CRD); review for issues and route to appropriate Compliance Managers for approval
• Send welcome email to new hires with Compliance requirements; track completion of fingerprint requirement and follow up on disclosure requirements
• Process security license transfers and initial security licensing forms (Form U4) in the CRD. File municipal advisor registration forms (Form MA-I) with the SEC.
• Perform public records background checks on new registered employees (verify the accuracy of the information provided on U4 initial filings)
• Open exam windows for security license exams and order study materials
• Maintain State licensing requirements and perform annual renewal
• Communicate and track registered persons' regulatory continuing education requirements
• File necessary branch office and individual amendments, i.e. address or supervisor change
• Allocate registration expenses for Accounting
• Track and maintain current lists of registered and unregistered locations, designated principals/supervisors

• Assist with regulatory inquiries; distribute, track status and maintain files as needed
• File various regulatory reporting requirements as assigned

• Maintain policy and procedure manuals and compliance alert archive
• Order office supplies as needed
• Manage Iron Mountain process for the department
• Miscellaneous administrative tasks
• Other duties as needed

• Bachelor's degree or equivalent
• Proficient in Microsoft Word and Excel; Access and PowerPoint a plus
• Exceptional attention to detail and ability to process work accurately
• Good organizational skills
• Ability to work independently
• Strong written and verbal communications skills
• Ability to build and foster effective working relationships with business partners
• Ability to prioritize and meet deadlines