Surveillance Analyst

Compliance - Registration ManagerTop Tier Investment and Trading Organization.

Highly Regarded Financial Services Institution seeks a Dynamic and Motivated Compliance Individual. Responsibilities include, overall management of Compliance Registration efforts for affiliated brokers/dealers, maintain registration of exiting brokers, disciplinary actions when appropriate and overall Maintenance of regulatory filings.

Duties also include
Workflow analysis Meetings with HR and business unit heads, to ensure timely filings of applications/amendments.
Improve quality of communication with business units, and proactively solve registration related problems.
Ensure procedures are current and adhered to by documenting and keeping abreast of all regulatory changes.
Stay on top of representatives to ensure that specialized exams and requirements are fulfilled.
Ensure compliance with internal procedures and Assist with various departmental projects.
Competitive Salary, Bonus and benefits package.Ref: 1140098
REQUIREMENTS
Ideal candidate should have
Solid understanding and knowledge of firm compliance, regulatory and jurisdiction registration requirements.
Proficient in NASD Web CRD, IARD, Microsoft Office Suite.
Database Maintenance, trouble shooting and creation of ad-hoc reports.
Excellent Communication Skills and Ability to organize and multi-task.
Knowledge of new Form BD and Canadian NRD Registration a plus