CONTRACTOR- Agent of Regulatory Registrations

SoHo Dragon represents an investment bank with offices in New York, NY that is looking to hire an Agent of Regulatory Registrations for a contract opportunity.

Location requirement: Hybrid

RESPONSIBILITIES:

·         Assist employees in obtaining proper registrations.

·         Work with vendors in procuring training materials and classes for registration candidates.

·         Prepare supervisory reporting to line managers and breach reporting to senior management.  

·         File various reports with regulators and marketplaces.

 Profile 

SKILLS AND QUALIFICATIONS:

Must Have: 

·         Minimum of 3 years direct experience in processing FINRA, NFA, SEC and SRO firm and agent regulatory registrations.

·         Proficient in FINRA Gateway and NFA ORS systems.

·         Required: Bachelor’s Degree.

·         Strong office program knowledge, with special emphasis on Excel.

·         Proficiency speaking and writing in English.

Nice to Have:

·         Minimum 5 years' experience in a Bank, Broker Dealer or Futures Commission Merchant environment.

·         Solid understanding of SRO rules for securities and futures licensing.

·         Experience with Investment Advisor registration.

·         Working knowledge of SEC EDGAR.

·         Must be able to work effectively with other compliance officers and partners in the business lines and support functions.

·         Other experience in compliance or legal field is a plus.

·         Ability to multi-task and set priorities.