IT Help Wanted: [itroundtable] LEAD: Brkr Dealer - Registration Mgr - NJ

Thursday, April 1, 2010

[itroundtable] LEAD: Brkr Dealer - Registration Mgr - NJ - to 100k + Bonus

Job Description A major Broker Dealer located in Jersey City is looking for a Registration Manager.

Duties and Responsibilities:

Process U4, U5 and disclosures.

Monitor the Firm's Continuing Education Regulatory Elements.

Maintain the Firm's registration database (outside business activity, employee trading, private securities, registrations, etc.)

Process the Firm's BD and branches information.

Orientation and have new hire package for the Firm's new employees.

Co-ordinate In-house CE Testing.

Schedule regulatory examinations.

Manage annual licenses renewal.

Co-ordinate/streamline process with affiliates with RR and Firm reporting obligations.

Prepare reports/letters.

Registration Manual

Understand/knowledge of CRD.

Skills Required Prior legal/compliance background.

Knowledge/experience of securities and broker-dealer laws/compliance/regulatory issues.

FINRA rules and regulations

Blue sky regulations and requirements

Good communications

Excel/spreadsheet

Excellent writing skills

WEB CRD/IRD experience

Bachelors degree with 5+ years compliance/legal experience

Salary Range This is a full time position which will pay up to 100k plus bonus.

How to Apply Contact Tony Savoca at Momentum Resource Solutions at asavoca@momentumrs.com and then call him at 732-738-0929.

MIS Ntwk Assoc Mtg Dates:

April 6th - Tues - Dinner Mtg - Holiday Inn Totowa - Linda Trignano - Managing The First Impression - Wear Your Interview Suit
Apr 13th - Tues - Bring 20 copies of your resume - 6 pm - Carnevale Center 10 Lenox Ave Pompton Lakes 07442 Rm 9 - plan to have dinner with us afterwards
May 4th - Tues - Dinner Mtg - Holiday Inn Totowa - Ed Steinberg - LinkedIn

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