SEC/FINRA Registrations Analyst

Location: Charlotte North Carolina (2 days a week onsite)

Contract Duration: 6 months

Job Description:

Support the Head of Registrations with the management the Registrations function including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts.

• 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.

Skills/qualifications

• Minimum of 3-7 years of direct experience in processing FINRA, NFA, SEC, and SRO firm and agent regulatory registrations.
• Solid understanding of SRO rules for securities and futures licensing and proficiency in FINRA Gateway and NFA ORS systems.
• Experience with Investment Advisor and Canadian registration (desirable)
• Ability to work effectively with other Compliance Officers, other business lines, and support functions.
• Strong proficiency in office programs, with particular emphasis on Excel.

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian’s platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian’s brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/ to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.