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Dexian · 1 day ago

SEC Compliance Analyst

New York, NY

Contract

Hybrid

Mid, Senior Level

$28/hr - $33/hr

3+ years exp

Dexian is a leading provider of staffing, IT, and workforce solutions. They are seeking an SEC Compliance Analyst to manage employee licensing and registration activities, ensuring timely updates to various filings with regulators and responding to audits and requests professionally.

ConsultingHuman ResourcesInformation TechnologyProfessional ServicesStaffing Agency

Hiring Manager

Anupam Sonkar

Responsibilities

Manage all employee licensing and registration activities for employees for the Broker-Dealer. Ensuring team processes timely updates to various filings with FINRA including Form U4, Form BR, 8R individual applications with the NFA and employee disclosures among others

Filing firm applications with the various regulators such as Form BD, Form ADV, and Form 7R applications with the NFA

Implementing and managing the continuing education. Monitoring registered persons progress and addressing issues with supervisory principals as necessary

Ability to manage and monitor registered persons reporting requirements for Quarterly Certifications such as Permissive Registrations Certifications and the Annual Compliance Questionnaire. Proficiency to address issues and report them to management as needed

Manage and improve the OBA process from initial input of the OBA to final approval

Review and update registration policies and procedures annually and/or as required by new or updated regulations

Ability to respond to Internal Audits and FINRA requests in a timely manner and the ability to interact with regulators and firm employees in a professional manner

Qualification

FINRA processing experienceNFA registration experienceSEC compliance knowledgeSRO rules understandingFINRA Gateway proficiencyNFA ORS systems proficiencyOffice programs proficiencyCollaboration skills