Compliance Analyst - Registration

Stifel • Saint Louis, MO

8h

About The Position

Under minimal supervision, the Registration Compliance Analyst I prepares and processes all securities related registration for the firm and its licensed individuals. This includes new offices and updates, acquisitions, all broker/dealer subs and affiliates, jurisdiction applications and renewals, terminations, relicensing, transfer of commission requests, and registration violations.

Requirements

• General knowledge and understanding of FINRA, SEC, MSRB, and NYSE regulations.
• Working knowledge of securities registration requirements for broker/dealers and registered individual requirements.
• Excellent research, writing, and verbal and written communication skills.
• Strong attention to detail and ability to manage multiple tasks with competing deadlines.
• Ability to maintain accurate records and documentation within registration and compliance systems.
• Ability to manage multiple concurrent projects and prioritize effectively.
• Minimum Required: Bachelor's Degree or equivalent work experience.
• Minimum Required: 2+ years of Financial Services industry experience.
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Responsibilities

• Facilitate fingerprinting of all employees; bring any RAPP sheet issues to the attention of the Department Manager.
• Process Form U4s, U5s, & BRs, and make prompt amendments as applicable to the position.
• Maintain accurate information in BETA (REGR) and accurate information on NRF Associates, Representatives, Investment Advisors, and current locations.
• Manage registrations related to new offices, acquisitions, broker/dealer subsidiaries, and affiliated entities.
• Process jurisdictional applications, renewals, terminations, relicensing, and registration transfers.
• Perform annual state registration renewals and reconciliation.
• Review and monitor various forms and reports to provide support and improvement.
• Ensure compliance with applicable industry rules and regulations.
• Responsible for other projects assigned by supervisor/manager that are generally complex, difficult, or broad in scope.

Benefits

• comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees