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SMBC Group · 1 day ago

Registrations Analyst

Jersey City, NJ

Full-time

Hybrid

Entry Level

$72K/yr - $87K/yr

1+ years exp

SMBC Group is a top-tier global financial group with a diverse range of financial services. The Registrations Analyst will be responsible for executing the registrations process, including individual and firm registrations, employee lifecycle management, and continuing education program management.

AdviceBankingFinancial Services

H1B Sponsor Likely

Responsibilities

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

Qualification

Broker-dealer complianceWeb CRDForm U4U5BDBRRegulatory examination preparationWritten communicationVerbal communicationProactive self-starter

Required

Undergraduate degree required

Approximately 1-3 years of relevant broker-dealer compliance and/or registrations experience, preferably within a financial services firm

Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting

Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs

Excellent written and verbal communication skills

Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics

Benefits

Annual discretionary incentive award

Competitive portfolio of benefits

Company

SMBC Group

Glassdoor3.5

SMBC Group is a top-tier global financial group.

Founded in 1590

New York, New York, USA

10001+ employees

https://www.smbcgroup.com/americas

H1B Sponsorship

SMBC Group has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

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Trends of Total Sponsorships

2025 (160)

2024 (87)

2023 (73)

2022 (44)

2021 (29)

2020 (26)