JW Michaels & Co. · 2 days ago
Sr. Compliance Analyst - Registration
New York, NY
Full-time
Hybrid
Mid, Senior Level
3+ years expJW Michaels & Co. is a prestigious investment management firm seeking a Registration Specialist to join their Legal and Compliance team. The specialist will focus on processing registration information to ensure compliance with U.S. regulatory requirements, supporting onboarding, managing applications, and maintaining licenses.
ConsultingHuman ResourcesInformation TechnologyStaffing Agency
Hiring Manager
Aly B.
Responsibilities
Review and complete pre-hire Workday requests for potential new hires
Manage new hire onboarding, including monitoring fingerprint submissions, distributing compliance documents, reviewing background checks, and advising on required exams
Process FINRA Gateway filings (Form U4/U5, Form BR/BD, NFA Form 8R/8T) and related amendments in a timely manner
Maintain accurate registration records and ensure compliance with recordkeeping requirements
Manage FINRA Gateway queues, reports, and regulatory information requests
Provide reporting to business management, supervision, and compliance teams to meet regulatory obligations
Research and respond to regulatory inquiries regarding disciplinary histories, terminations for cause, and other compliance matters
Coordinate study materials and regulatory exam preparation for employees
Monitor and review email communications as part of compliance controls
Review and update registration policies and procedures annually or as needed
Qualification
Required
Bachelor's degree in a related business field
3–5 years of experience in registration, licensing, or compliance within a broker-dealer or investment adviser
Strong understanding of FINRA, SEC, and state registration/licensing requirements
Proactive, highly organized, and able to meet multiple deadlines
Excellent interpersonal, oral, and written communication skills
Proficient in regulatory platforms (FINRA Gateway CRD/IARD, NFA ORS) and Microsoft Office Suite, including Excel and Workday
Ability to adapt to regulatory changes and update policies accordingly
Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
Experience supporting audits and regulatory examinations related to registration and licensing
Company
JW Michaels & Co.
JW Michaels & Co. is a staffing and recruiting company offering management and law staffing solutions.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Justin Mandel
Co-Founder and Managing Partner
Recent News
2025-01-22
Company data provided by crunchbase