Job Description

One of CEI's largest Financial Services clients is seeking a Registrations Compliance Officer to join their growing organization!

Client/Industry : Financial Services

Job Title : Registrations Compliance Officer

Location : Hybrid - 3 Days On-Site / 2 Days Remote | Jersey City, NJ 07310

Work Schedule/Shift : Mon-Fri | Minimum 40 work hours per week.

Duration/Length of Assignment : 6 Month Contract to Hire

*Must be able to convert to a full-time employee without sponsorship, restrictions, or an additional employer*

• W2 Employment Only – No Corp to Corp / C2C arrangements.
• Expected potential for contract extension(s) and/or conversion to Full-Time/Permanent Employment .
• Optional benefits available during contract (Medical, Dental, Vision, and 401k)

Position Overview :

This role supports the firm's U.S. regulatory compliance function with a focus on registration oversight for broker-dealer and swap dealer operations. It was created as part of an initiative to strengthen risk management and operational accuracy related to employee licensing, registrations, and reporting compliance in line with current FINRA, SEC, and CFTC/NFA requirements. The position sits within the Compliance team, working closely with Legal, HR, and business stakeholders. The team is composed of seasoned professionals with deep regulatory knowledge and is structured to report into senior Compliance leadership. The Registrations Compliance Officer will manage regulatory filings, monitor licensing requirements, and maintain data integrity across multiple regulatory platforms. The individual will be expected to coordinate with both internal teams and external agencies to ensure the timely and accurate processing of required documentation, reporting, and training records. This position requires proactive communication, close attention to detail, and the ability to apply complex regulations to real-world operational procedures.

Required Skills/Experience/Qualifications :

• BA or BS degree from an accredited institution
• 10+ years of compliance experience within a broker-dealer or financial services firm
• Deep understanding of SEC, FINRA, CFTC/NFA, and U.S. state registration regulations
• Proficiency with regulatory systems such as FINRA Gateway/Web CRD, NFA ORS, and Winjammer
• Strong multitasking, organizational, and execution skills
• Effective interpersonal, communication, and project management capabilities
• Experience coordinating with Legal, HR, and Compliance departments

Preferred Skills (Not Required) :

• Direct experience with U.S. registration and licensing procedures

Day to Day/Responsibilities :

• Maintain accurate and up-to-date FINRA and CFTC/NFA registration records for registered representatives and swap dealers to ensure regulatory compliance
• Review and process Forms U4, U5, 8R, and 8T, ensuring new hires are properly licensed prior to start and terminated employees are offboarded timely
• Draft and manage waiver and exemption request letters, and complete regulatory filings such as Form BD and Form 7R
• Monitor outstanding regulatory exams and distribute monthly pending exam lists to internal stakeholders for tracking and follow-up
• Utilize platforms including FINRA Gateway/Web CRD, NFA ORS, and Winjammer to input, track, and validate registration data
• Collaborate with internal partners to resolve issues and develop policies to strengthen risk mitigation related to licensing and regulatory adherence
• Monitor and enhance compliance operations aligned with evolving SEC, FINRA, CFTC/NFA, and state/SRO rules and expectations
• Represent the firm in external working groups and forums (e.g., SIFMA) to stay updated on industry best practices and emerging changes
• Notify registered representatives of continuing education and ethics training deadlines, and maintain documentation confirming training completion
• Coordinate with external vendors and the internal Americas Compliance Training team to manage the execution and compliance of Firm Element and ethics training requirements
• Escalate and track overdue continuing education requirements as needed to appropriate parties
• Coordinate regulatory filings including FINRA 4530, CFTC 1.12, and Swap Dealer Risk Exposure Reports, ensuring submissions are timely and accurate
• Assist in drafting or assembling the Annual CCO Report and other required filings through collaboration with Legal, HR, Compliance, and Conduct teams
• Maintain internal records and logs to reflect status updates and ensure all compliance actions are fully documented and audit-ready

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