Compliance Analyst - Registration

ACA Group•Durham, NC

13d

About The Position

This position is responsible for processing initial and ongoing registration requirements for registered representatives and associated persons of affiliated broker-dealers. The position will include serving as the primary interface with registered representatives for registration matters.

Requirements

Bachelor’s degree or equivalent work experience
Minimum 1 year of relevant work experience, preferably in financial service
Experienced user of standard office and regulatory software preferred
Excellent written and verbal communication skills
Strong interpersonal and collaboration skills
Ability to prioritize and meet multiple deadlines
Self-starter and team player with the ability to work with limited supervision
High attention to detail

Nice To Haves

FINRA licenses preferred or ability to obtain within one year of hire

Responsibilities

Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreside policy
Prepare background information and communicate critical deadlines and instructions
Follow established procedures to process FINRA filings; U4s, amendments, or U5 terminations for representatives and associated persons
Assist candidates with regulatory examination and continuing education arrangements
Enter critical information into databases and maintain detailed documentation according to established procedures
Troubleshoot problems and investigate issues involving registration
Serve as a key resource to clients, representatives and staff including regular participation in group meetings involving registration and related matters
Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate for this position
Other tasks and projects as assigned