Registrations Associate

About the Position

We are looking for a Registrations Associate to join our growing Legal and Compliance team. This person will be a core part of our Registrations team and be responsible for overseeing the registration process from start to finish for Jane Street’s U.S.-based business.

Specific responsibilities of this role will include:

• Preparing U-4s, U-5s, and any requirement amendments for employees of several broker-dealer entities


• Managing Web CRD queues, reports, and information


• Developing and producing reports to assist with supervision and compliance purposes


• Processing and managing employees’ fingerprints and background checks


• Managing representative tracking system


• Working with the business and compliance teams to maintain a supervisory list


• Researching and responding to regulatory inquiries related to disciplinary histories, terminations for cause, etc.


• Coordinating and assisting with study materials, classes, and regulatory examination preparation


• Coordinating the submission of BD/ADV entity filings for disclosure-related matters with various regulators such as FINRA

About You

• Undergraduate degree required


• 3+ years of relevant experience required


• Ability to navigate FINRA Web CRD


• Proactive and self-motivated with strong organizational, interpersonal, and written communication skills


• Understanding of FINRA, SEC, and state registrations skills


• Excellent computer skills, including Excel


• Strong attention to detail and the ability to handle competing priorities and work effectively in a challenging, fast-paced environment

If you're a recruiting agency and want to partner with us, please reach out to [email protected].