Job Description

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 (e.g., FINRA CRD, internal tracking tools, etc.)
• Perform routine monitoring to ensure registration and licensing requirements remain current and compliant
• Prepare and support routine and ad hoc reporting related to registration, licensing, and compliance metrics
• Assist with regulatory inquiries, internal audits, and examinations related to registration and licensing activities
• Partner with internal stakeholders, including Compliance, Legal, HR, and individual business teams, to resolve registration and licensing issues
• Support ongoing oversight activities and contribute to process improvements and documentation updates
• Perform additional duties and projects, as assigned, to support the Legal Registration Group

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 2+ years of total relevant work experience
• FINRA Series 7 and Series 24 registrations required, OR required licenses may be obtained within 6 months of hire if not currently held

Preferred:

• Experience in compliance, registration, licensing, or regulatory operations within the financial services industry
• Strong analytical skills with the ability to identify trends, root causes, and process improvement opportunities
• Excellent written and oral communication skills with exceptional attention to detail with a proactive, risk-focused mindset
• Ability to manage multiple deadlines in a fast-paced regulatory environment while sustaining the highest level of organization
• High level of integrity and discretion
• Familiarity with FINRA CRD system and knowledge of FINRA, MSRB, and SEC rules
• Demonstrated ability to interpret and apply regulatory rules with precision
• Advanced proficiency in Excel and Word
• Experience with Risk identification and mitigation

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).