Location: New York,NY, USA
The Registrations Analyst is responsible for assisting the Head of Registrations and the team in maintaining firm and employee registrations and other Registration tasks. This person will be responsible for maintaining and monitoring adherence to the firm's compliance program and priorities. College undergraduate degree, with Microsoft suite of computer skills, strong written and oral communications and ability to interact with senior management as needed. Needs to work from the office 4 days a week.
Key Responsibilities:
* Assist the Registrations Manager in handling registrations for all Jefferies U.S. entities and employees, including regulatory form filings to FINRA, NFA/CFTC, CIRO, OSC, states, and other SROs
* Complete Compliance new hire, termination tasks, and other Registrations tasks
* Process pre-hire check requests
* Handle fingerprinting and study materials
* Assist in handling FINRA Regulatory Element Continuing Education (CE) and IAR CE
* Handle internal requests and assist in preparing requirements for internal and regulatory audits
* Review Outside Business Activities (OBA) requests, handle monitoring and reporting
* Help update policies and procedures
* Maintain Registration EFiles in depshare
* Complete other tasks as assigned by the Head of Registrations
Primary Location Full Time Salary Range of $70,000.00 - $75,000.00.
The salary offered will take into consideration an individual's experience level and qualifications. In addition to salary, Jefferies offers, for eligible employees, an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (vacation), unplanned time off (sick leave), and paid holidays and paid parental leave.