SMBC Group

  • Associate, Broker/Dealer Compliance Officer (Registration Specialist) - SMBC Nikko Securities America, Inc.

    Job Locations US-NY-New York
    Posting Date 3 months ago(9/25/2018 5:10 PM)
    Career Category
    Compliance and Legal
    Position ID
    Corporate Title
  • Overview

    SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Banking Group, one of the world's largest global financial institutions. Based in New York City, we provide financial products and services to institutional clients, focusing on North America and Latin America. The firm is an SEC registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). We are seeking an experienced and motivated individual to join the Compliance team to support the registration of the firm and its employees.


    - Process Forms U4 for new staff and Forms U5 for departing staff. Conduct CRD pre-hire checks and coordinate with vendor to complete background checks. Arrange for and submit fingerprints. Determine examination and state licensing requirements. Work with HR to ensure a smooth onboarding and termination process. Update the Supervisory Map assigning registered representatives to a supervisor. Update Form BD and Form BR as necessary.

    - Identify and obtain preparatory study materials for examinations and training materials for Firm Element continuing education.

    - Maintain qualifty assurance through adherence to checklist controls.

    - Update and maintain the Needs Analysis and Training Plan.

    - Coordinate with other team members to administer the onboarding and termination of staff enrolled in the Supervisory Map, personal account monitoring system and e-communications system.

    - Maintain registration files.

    - Prepare and distribute periodic reports to management. Participate in testing and monitoring of related systems.

    - Perform general compliance duties and ad hoc projects.


    - The ideal candidate will have three years of directly relevant broker dealer compliance experience in registration.

    - In depth knowledge of broker dealer registration is essential. Must know registration and testing requirements of SEC, FINRA and MSRB.

    - Knowledge of IIROC requirements and NRD system a plus.

    - Compentency in using FINRA Gateway and WebCRD. Experience with RegEd also helpful.

    - Working knowledge of US securities regulations and products.

    - BA/BS degree is a plus.

    - Meticulous attention to detail and ability to follow up on issues.

    - Ability to work with tight deadlines while maintaining a high degree of accuracy is essential.

    - Strong analytical skills and ability to articulate regulatory requirements to staff and management.

    - Strong interpersonal and communication skills – both oral and written are essential for effective communication.

    - Ability to research regulatory requirements including to obtain guidance from regulators.

    - Should be proficient in using Excel.


    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed