Be Part Of A High-Performing Team:

Join a leading global financial institution operating at the forefront of corporate and investment banking across the Americas. The Compliance Department Americas Division plays a critical role in safeguarding the firm’s regulatory integrity, ensuring adherence to securities regulations, and maintaining strong oversight of employee-related compliance programs.

The Employee Compliance Team partners closely with first and second lines of defense to execute and enhance broker/dealer registration and licensing processes. This team operates in a highly collaborative, detail-driven environment where precision, regulatory expertise, and accountability are central to success. The Registrations function directly supports FINRA-related activities for the firm, its branch offices, and associated persons—making it an essential pillar of regulatory compliance and operational continuity.

What’s In Store For You:

• Opportunity to work within a highly regulated financial services environment supporting critical FINRA registration processes
• Exposure to cross-functional stakeholders across Compliance, Legal, and business units
• Short-term engagement supporting a focused, high-impact regulatory initiative

How You Will Make An Impact:

• Prepare and submit regulatory filings including Forms U4, U5, BD, BR, and monthly Safe Harbor filings
• Maintain and update associated persons (AP) records, licensing data, and supervisory reporting maps
• Monitor and manage workflow queues and reports within FINRA Web CRD and related systems
• Coordinate fingerprinting and background check procedures for registered personnel
• Support regulatory examination preparation and study coordination
• Ensure the functional and control integrity of registration processes through proactive tracking and reporting

Are you an experienced securities registrations professional ready to make an impact?

• 5–7 years of experience in broker/dealer registrations and licensing within a financial services environment
• Strong working knowledge of FINRA registration rules and associated regulatory requirements
• Hands-on experience preparing and filing Forms U4, U5, BD, and BR
• Proficiency in Web CRD, FINRA Gateway, and related vendor systems
• Familiarity with supervisory reporting structures and associated persons tracking
• Strong written and verbal communication skills
• Detail-oriented, proactive self-starter comfortable contributing to both new and evolving compliance programs