Analyst, Regulatory Advisory Compliance (Registration, Licensing, & Compliance)

Job description

Role Summary The Analyst will support the firm’s Legal Registration Group by executing day‑to‑day registration, licensing, and compliance activities related to broker‑dealer registered representatives, investment adviser representatives (IARs), and non‑registered associates subject to fingerprinting and background requirements. This role is critical to maintaining regulatory compliance through proactive monitoring, accurate documentation, and timely execution of registration and licensing obligations. The Analyst will work closely with senior analysts and management to escalate higher‑risk items while independently managing a large volume of regulatory tasks. The Analyst may be required to support senior analyst functions on an as needed basis. Responsibilities: - Support the licensing and registration lifecycle for Broker-Dealer Registered Representatives and Investment Adviser Representatives, including initial registrations, amendments, renewals, and terminations - Coordinate and track fingerprinting requirements for non-registered populations, ensuring compliance with applicable regulatory standards - Maintain accurate and timely records in registration and compliance systems (...