SMBC Group · 1 day ago
Director, Head of Registrations
Jersey City, NJ
Full-time
Hybrid
Director/Executive
$198K/yr - $240K/yr
15+ years expSumitomo Mitsui Banking Corporation is a top-tier global financial group headquartered in Tokyo. The Head of Registrations will lead and manage the Registrations Program across the Americas Division, ensuring compliance and effective management of individual and firm registrations, employee lifecycle, and continuing education programs.
AdviceBankingFinancial Services
Responsibilities
Oversee, lead and manage a team who is responsible for all aspects of following:
Individual and firm registrations: U4, U5, BD and BR filings, Monthly Safe Harbor tracking and maintain AP list, licenses and supervisory reporting map
Entity and individual NFA filings: Forms 7-R and 8-R
CIRO and OSC registration for entities and individuals
Employee lifecycle: Coordinate with Human Resources on pre-hire background check process, fingerprinting and reporting
CE program management: Regulatory element, firm element and contribute to other trainings
Assist staff seeking registration, open exam windows, order study materials, submit waiver requests
Manage certain processes related to AP of SMBC Nikko Americas
Build strong working relationships with business line supervisors, Compliance, Legal, Human Resources and others across the firm to ensure a collaborative approach to managing the Registrations Program
Implement a new registrations application to support workflows across the Registrations Program
Manage internal audits and regulatory examinations, and assist with responding to regulatory inquiries
Respond to FINRA and State regulators as needed
Qualification
Required
At least 15 years of institutional broker-dealer compliance experience, with a minimum of 10 years of managing a Registrations team
Understanding of industry best practices to allow for benchmarking
Deep knowledge of relevant FINRA, SEC, CFTC, NFA Rules and Regulations
Active FINRA licenses is a plus
Knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting
Experience managing a firm's CE program
Experience managing the implementation and roll-out of a new registrations system
Demonstrated track record of managing multiple complex projects simultaneously and reprioritize work as required
Strong analytical skills to understand project goals and to turn them into meaningful action
Strong judgment, political astuteness and sensitivity to cultural diversity
Excellent communication and interpersonal skills
Benefits
Annual discretionary incentive award
Competitive portfolio of benefits
Company
SMBC Group
SMBC Group is a top-tier global financial group.
10001+ employees
H1B Sponsorship
SMBC Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (160)
2024 (87)
2023 (73)
2022 (44)
2021 (29)
2020 (26)
Funding
Current Stage
Late StageLeadership Team
Hirofumi Otsuka
Senior Managing Executive Officer & CEO of Americas Division
Juan Kreutz
Head of Structured Finance Solutions and Deputy Head of the Americas
Recent News
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