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Neuberger Berman · 1 day ago

Senior Registration Analyst

New York, NY

Full-time

Onsite

Mid, Senior Level

$95K/yr - $125K/yr

3+ years exp

Neuberger Berman is looking for a Senior Registration Analyst to join their Legal and Compliance team, focusing on ensuring compliance with US regulatory requirements in the processing of registration information. This role involves supporting employees with licensing and registration matters while managing applications, updating licenses, and overseeing related regulatory reporting.

BankingBusiness DevelopmentFinanceFinancial Services

Culture & Values

Responsibilities

Review and complete pre-hire Workday requests for potential new hires

Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute new hire documents (compliance manual, brokerage account disclosure policy, code of ethics affirmation), review background checks and advise on necessary exams

Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s, Form BR/BD, and NFA Form 8R/8T filings and any other required amendments

Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements

Manage FINRA Gateway queues, reports, and information requests

Provide reporting to business management, supervision and compliance teams to ensure regulatory requirements are met

Research and respond to regulatory inquiries related to disciplinary histories, terminations for cause, etc

Coordinate study materials, and regulatory exam preparation for employees Monitor and review email communications as part of compliance controls

Review and update registration policies and procedures annually and/or as required

Qualification

FINRA regulationsRegistration complianceRegulatory platformsMicrosoft Office SuiteWorkdayInterpersonal skillsOral communicationWritten communicationOrganizational skillsAdaptability