Registration Manager
Rosenthal RecruitingNew York, New York, United States
Posted July 20, 2018
Full Time
About the Company
The Rosenthal Consulting Group provides human resource services focused on financial services like investment advisors and banks.
Job Description
Experienced Registration / compliance professional responsible for Regulatory Reporting and Registration Activities for a FINRA member Investment Bank. The Registration Manager will monitor and ensure compliance with rules regarding registration for FINRA Registration, U.S. State, INSURANCE Licensing form submissions, including U-4, U-5, Disciplinary, Terminations, fingerprinting, continuing education filings as required.
Requirements
- Working knowledge of FINRA and U.S. state registration requirements
- Experience with Web CRD
- Bachelor's degree (preferred)
- Two years or more of compliance officer experience with a FINRA Member Broker-Dealer (Insurance Licensing, preferred)
Benefits
- Comprehensive benefits available to all Company employees