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Registration Specialist

3 months ago

New York, United States Michael Page Full time

The client is looking for someone with 3-5 years of experience in Securities Registration who is an expert at filling U$ Forms and BR via FINRA Gateway, and knows the back office registration process. The role is a temporary contract for about 2-6 weeks, where you'll be responsible for Form U4 filings and BRs too all while working fully remote

Client Details

The client is a commercial bank that started in Japan. They are the third largest bank in Japan and offer services such as investment banking, global markets, and sales and trading.

Description

- Manage Form U4 filings for updating employment addresses and Form BR filings via FINRA Gateway

- Ensure compliance with branch office and branch location registration requirements

- Familiarity with FINRA Rule 3110 (Branch Office Registration) and related regulations

- Assist in approximately 1200 Form U4 Filings and addition Form BR filings during the assignment

- Possibly visit the office occasionally. while primarily working remotely, and be proficient in Microsoft Word and Excel for report updates

Profile

- 3-5 years of hands on experience in Securities Registration

- Demonstrates proficiency in navigating FINRA Gateway and filing Forms U4 and BR

- Shows a strong understanding of branch office and branch location registration requirements

- Familiar with regulatory guidelines such as FINRA Rule 3110

- Comfortable working remotely and occasionally visiting the office,

- Strong Microsoft Word and Excel for managing reports

Job Offer

- Competitive Compensation

- Health Benefits (Medical, Dental, Vision)

- Team like workplace culture

- Experience with a top company in the finance industry

- Possibility for permanent position

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.