Registrations Analyst

Registrations Analyst

The Registrations Analyst will report to the Head Registrations with responsibility to execute on the registrations process. This role offers exposure to all aspects of the registrations process that includes individual and firm registrations, employee lifecycle, continuing education ("CE") program management.

Role Objectives

• Prepare U4, U5, BD and BR filings, Monthly Safe Harbor filings.
• Maintain 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.

Qualifications and Skills

SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.

Nearest Major Market : Jersey City Nearest Secondary Market : New York City