SEC/FINRA Registrations Analyst - New York - Dexian

The Registrations Analyst will report to the Head Registrations with responsibility to execute on the registrations process. · This role offers exposure to all aspects of the registrations process that includes individual and firm registrations, employee lifecycle, continuing edu ...

Our client seeks an experienced Business Analyst to support Capital Markets clients across FINRA registration initiatives.Support FINRA registration processes for Capital Markets clients. · Lead business analysis activities for regulatory and operational initiatives. · ...

Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team. · ...

This is a highly visible hands-on role requiring strong broker-dealer regulatory knowledge and proven experience supporting FINRA registrations. · ...

We are looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure compliance with US regulatory requirements. · Bachelor's degree in a related business field · 3-5 years' experience ...

+Job summary · The Registrations Associate is responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks.Key ResponsibilitiesAssist the Registrations Manager in handling registrations, including reg ...

The Registrations Associate is responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks. This person will be responsible for maintaining and monitoring adherence to the firm's compliance program a ...

We are seeking an experienced Business Analyst to support Capital Markets and broker-dealer clients across FINRA registration and regulatory transformation initiatives. · ...

We are hiring a Senior Compliance Analyst in New York to support broker-dealer registration, licensing, and onboarding compliance across FINRA, SEC, and state regulatory requirements. · Manage and process FINRA Gateway filings including Forms U4, U5, BD, BR, · & applicable NFA fi ...

+Job Summary · New York NY - Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York NY supporting broker-dealer registration licensing and onboarding compliance across FINRA SEC and state regulatory requirements.Manage and process FINRA Gateway filings i ...

Atlantic Group is hiring a Senior Compliance Analyst (Broker-Dealer) in New York, NY for our client, supporting broker-dealer registration, licensing and onboarding compliance across FINRA, · SEC and state regulatory requirements. · ...

Please find below the job description and share your latest resume if you are interested? · FINRA registrations experience a must. Doesn't need to be super experienced here, but needs some relevant exp in this area. · ...

The Commercial Investment Banking Strategic Event Marketing and Sponsorships team provides global event management services for complex employee and client programs that require coordination of internal and external events. · Support Event Associates and Managers with various mee ...

We are seeking a contingent worker who will support certain components of a Registrations program. · SummaryThe Registration Team manages Nikko Americas Inc. related Client registrations and licensing process for the firm, its branch offices, and its associated persons. · ...

A financial services client of Sharp Decisions Inc. seeks a Compliance Analyst to support registration processes in New York. · Prepare U4, U5, BD and BR filings. · Maintain associated persons list. · ...

We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and FINRA Associated Persons (AP) program components. · Prepare U4, U5, BD and BR ...

Full management responsibility of a team to include performance evaluation compensation hiring disciplinary actions terminations budget approval. · ...

The Finance Division at DOHMH has central responsibility and authority for all the finance, · contracting, procurement, payroll, and revenue functions of the agency. · A baccalaureate degree from an accredited college · and four years of full-time satisfactory professional exper ...

FINRA registrations experience is required. The job involves working with FINRA registrations (Series licenses, broker/dealer registrations, U4/U5 forms, CRD system) and has preferred qualifications including background in financial services operations or regulatory support. · ...

We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and FINRA Associated Persons (AP) program components. · ...