Analyst, Compliance Registrations

Job description

We are seeking a Compliance Analyst to join our team in Jacksonville, FL. This role is crucial in maintaining the firm's compliance with regulatory bodies. The ideal candidate will have a strong understanding of securities and futures regulations and be able to work collaboratively with various teams. They will assist in preparing and filing regulatory forms, tracking deadlines, and ensuring the firm's compliance calendar is up-to-date. - Monitor and maintain firm and individual registrations on FINRA Web CRD, IARD, and NFA ORS platforms. - Assist with the preparation and filing of regulatory forms, including U4, U5, BD, BR, 8-R, 8-T, ADV, and 7-R. - Collaborate with Legal, HR, and supervisory teams to meet Rule 4530 reporting and disclosure obligations. - Help track deadlines and update the compliance calendar for timely regulatory filings and renewals. - Support the opening of qualification exam windows, monitor exam activity, and maintain records. - Assist with the firm's Continuing Education program by tracking module completion. - Perform pre-hire registration checks, including background reviews and fingerprint submissions. - Coordinate study materials for licensing exams and...