Registration Consultant

Manhattan Temporary USD103,992 - USD124,790
  • Ability to work remotely and/or in the office
  • Gain exposure within central compliance

About Our Client

Our client is an American Financial service firm that has been around for 70+ years. They focus on fixed income sales and trading, institutional equity and investment banking services.

Job Description

  • FINRA filings which include U4, U5, BD, BR, 8-R and 8-T
  • Focus on on boarding new hires which include their paperwork and fingerprints
  • Order and track any study materials needed
  • Schedule regulatory license exams and any other educational appointments
  • Compliance calendar must be up to date and tracked

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.

The Successful Applicant

- Bachelor's degree or higher
- 1+ years within compliance
- Experience with FINRA Filings- U4, U5, BD, BR etc
- Experience evaluating and implementing compliance systems
- Strong knowledge regarding FINRA, NASD, NYSE, MSRB, CFTC and SEC rules

What's on Offer

This client is offering a over market rate and the ability to work remotely or to come into the office when needed. This position has potential to go from temp to perm but is not guaranteed.

Daniella Younossi
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Daniella Younossi
Job Reference