Compliance Analyst (914)

A client of Sharp Decisions Inc. is seeking a Compliance Analyst to be based in Jersey City, NJ. The position is HYBRID. The contract's duration is 3 months with possible extension. *W2 and local only.

JOB DESCRIPTION:
We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program which includes a range of processes supporting the execution of registrations and FINRA Associated Persons ("AP') program components.

The Registration Team is part of the Employee Compliance Team and manages client's related FINRA registrations and licensing process for the firm, its branch offices, and its associated persons. The registration team coordinates with relevant stakeholders in the first and second-line of defense in the execution of the registration processes including the identification of in-scope population, submission of registration related forms, tracking of registered persons and supervisory assignment, and ensuring the functional and control integrity of the process.

PRIMARY RESPONSIBILITIES
Prepare U4, U5, BD and BR filings, Monthly Safe Harbor filings.
Maintain associated persons ("AP") list, licenses and supervisory reporting map.
Review workflow queues and reports, e.g., FINRA Web CRD.
Process fingerprinting and background check procedures.
Coordinate study materials and regulatory examination preparation.
Other duties as required.

CRITICAL JOB KNOWLEDGE AND CORE COMPETENCIES/SKILLS
Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting.
Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs.
Excellent written and verbal communication skills.
Knowledge of core competencies across the Securities broker/dealer registrations and licensing rules.

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