Registration and Compliance Business Analyst- Charlotte, NC
About The Position
Serve as the main point of contact for Global Registration Governance within Global Operations. This role involves direct interaction with senior managers and staff to facilitate changes related to registrations with the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC), and National Futures Association (NFA). Responsibilities also include managing FINRA covered person and SEC Swap Based Securities Associated Persons status. The candidate will collaborate closely with Finance's Regulatory Reporting team to; develop commentary for capital charges, prepare monthly/quarterly reports and attestations to document compliance with regulatory requirements, and provide management with timely updates.
Requirements
- General knowledge of the Securities Industry and Operational Risk
- Previous experience within a regulatory operations environment
- Presentable, confident, and regulatory focused
- Excellent communications skills and ability to present to an audience
- Ability to work under pressure in a team environment
- Ability to liaise with all levels of the firm and people with different experiences and backgrounds
- Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate
- Knowledge of Excel, PowerPoint, Word
Nice To Haves
- Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
- Excels in working among diverse viewpoints to determine the best path forward
- Commitment to challenging the status quo and promoting positive change
- Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
- Believes in value of diversity so we can reflect, connect, and meet the diverse needs of our clients and employees around the world
Responsibilities
- Reconciliation of registrations requirements and action remediation
- Timely response to management requests to onboard new registered employees / offboard changing roles or leaving employees
- Management reporting
- Attestation management
- Liaising with other internal departments to ensure timely resolution of registration requirements
- Involvement in ad hoc projects for new processes
Benefits
- health care
- 401(k) savings plans
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
