Regulatory Compliance Analyst

One of the clients of Sharp Decisions is looking for a Regulatory Compliance Analyst in Jersey City, NJ
. This is a hybrid position and a 12-month contract with a possible extension.

We are seeking a contingent worker who will be responsible for supporting certain components of a Registrations program, which includes a range of processes supporting the execution of registrations and FINRA Associated Persons (AP) program components.

The Registration Team is part of the Employee Compliance Team and manages company related FINRA registrations and licensing process for the firm, its branch offices, and its associated persons. The registration team coordinates with relevant stakeholders in the first and second lines of defense in the execution of the registration processes, including the identification of in-scope population, submission of registration‑related forms, tracking of registered persons and supervisory assignment, and ensuring the functional and control integrity of the process.

• Prepare U4, U5, BD, and   filings, and Monthly Safe Harbor filings.
• Maintain the associated persons (AP) list, licenses, and supervisory reporting map.
• Review workflow queues and reports, e.g., FINRA Web CRD.
• Process fingerprinting and background check procedures.
• Coordinate study materials and regulatory examination preparation.
• Other duties as required.

• Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD,  , and reporting.
• Proactive, self‑starter who is comfortable in being part of developing new programs and enhancing existing programs.
• Excellent written and verbal communication skills.
• Knowledge of core competencies across the Securities broker/dealer registrations and licensing rules.