FINRA Regulatory Registered Agent

Overview

Hybrid
$70 - $90
Contract - W2
Contract - Independent
Contract - 6 Month(s)
No Travel Required

Skills

Banking
Business Intelligence
Business Plans
Communication
Finance
Regulatory Compliance
Regulatory Reporting
SEC
Microsoft Excel
FINRA
SEC EDGAR
SRO
regulatory registrations

Job Details

Our Direct client in NYC is seeking a Regulatory Registered Agent for a 6 month (possible extension) contract position.

Experience in processing FINRA, NFA, SEC and SRO firm and agent regulatory registrations.

  •         Proficient in FINRA Gateway and NFA ORS systems.
  •         Strong office program knowledge, with special emphasis on Excel.
  •         Experience in a Bank, Broker Dealer or Futures Commission Merchant environment.
  •         Solid understanding of SRO rules for securities and futures licensing.
  •         Experience with Investment Advisor registration.
  •         Working knowledge of SEC EDGAR.
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