Application Deadline: 03/27/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance Qualifications: Typically between 3 - 5 years of experience in regulatory compliance, preferably within a broker‑dealer or similar financial services environment. Direct experience administering employee registrations with FINRA, NFA, and/or SEC, including completing and managing Form U4/U5 filings and registration amendments. Strong understanding of U.S. securities and derivatives regulations, including FINRA rules and registration categories, NFA and CFTC registration requirements, and SEC regulatory framework for registered representatives Experience with regulatory systems such as FINRA Gateway, NFA ORS, WebCRD, and CE systems. Experience conducting compliance monitoring, testing, risk assessments, or controls evaluation. Proficiency in Microsoft Office (Excel, Word, PowerPoint) and ability to learn specialized compliance systems....