Job Description

Job Title: Registration Compliance Officer Location: Jersey City, NJ Department: Compliance - Registrations Compliance Overview: The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Representatives and swap dealers. This role ensures corporate filings and reporting obligations are fulfilled in a timely manner, while providing guidance on regulatory requirements. Key Responsibilities: Registration & Licensing Compliance Provide guidance on registration and licensing requirements, processes, and procedures. Timely process Form U4, U5, 8R, and 8T for new and existing employees. Ensure employees in roles requiring securities/futures licenses are appropriately licensed or complete required exams. Prepare exemption/waiver requests for qualified representatives. Coordinate and process Form Client and Form 7R filings/amendments for broker-dealers, FCMs, and swap dealers. Track and monitor pending exam statuses; update and distribute reports monthly to senior management, supervisors, and compliance teams. Navigate and utilize Client Gateway/Web CRD, NFA ORS, and Winjammer Electronic Filing System. Policy Development & Collaboration Collaborate with departments on projects, policy development, and issue resolution to mitigate risk. Develop and enhance policies and procedures to comply with regulations from SEC, Client, CFTC, NFA, state jurisdictions, and other SROs. Participate in industry working groups (e.g., SIFMA, Association of Registration Management), attend conferences, and apply insights to improve processes. Continuing Education Notify registered representatives of their regulatory continuing education and NFA Ethics Training requirements. Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. Escalate non-compliance issues promptly to appropriate parties. Coordinate ethics training distribution with vendors and monitor completion. Partner with Compliance Training teams to identify and track employees who require Firm Element training. Regulatory Reporting & Filings Manage and process regulatory filings in accordance with Client, NFA, and CFTC requirements. Notify relevant departments when regulatory filings are due. Collaborate with Compliance, Legal, HR, and business teams to gather necessary documents and data. Submit and manage: Client 4530 filings CFTC 1.12 filings Quarterly Swap Dealer Risk Exposure Reports Annual CCO reports for swap dealers/FCMs Minimum Required Qualifications Bachelor's degree (BA or BS) required. Minimum of 10 years of compliance experience within a broker-dealer or financial services environment. Strong knowledge of U.S. registration rules and regulations (SEC, Client, CFTC/NFA, and state jurisdictions). Proven ability to meet deadlines, manage multiple priorities, and adapt to a dynamic environment. Strong attention to detail and excellent project management skills. Effective communication and interpersonal skills, with experience working across various departments and levels. Collaborative team player with the ability to apply regulatory knowledge to real-world scenarios. Preferred Qualifications U.S. registration and licensing experience is a plus. Axelon

Job Tags

Similar Jobs