Contractor-Operations-Daily 4

Responsibilities:
Registrations Compliance is responsible for maintaining accurate and complete Client and CFTC/NFA registration for Registered Representatives of client Securities Corp and the swap dealer(s). In addition, ensuring the appropriate corporate filings and reporting obligations are timely satisfied.

• Provide advice/guidance on registrations/licensing requirements, processes and procedures
• Timely process Form U4, U5, 8R and 8T. Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.
• Prepare waiver/exemption letters for qualified representatives as needed.
• Coordinate/process Form Client/Form 7R filings/amendments on behalf of broker dealers/FCM/swap dealer.
• Track/monitor pending exams for employees required to be licensed. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.
• Ability to navigate Client Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing System
• Partner with the various departments on initiatives, projects, policy, procedure development and issue resolution to mitigate risk.
• Develop/enhance policies, procedures and processes to comply with the regulations - SEC, CFTC, Client, NFA, state jurisdictions and other Self-Regulatory Organizations
• Participate in industry working groups/organizations (e.g. SIFMA, Association of Registration Mgt), attend networking events and conferences leveraging information to drive optimal issue resolution

Continuing Education:
Responsible for notifying registered representatives of their regulatory element continuing education requirement and NFA Ethics Training. Maintain log of registered representatives' completion and send reminder notifications to reg. rep., supervisors and compliance officers. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.

• Notify all representatives registered as Associated Persons/Swap Client on behalf of client Securities Corp. with the National Futures Association of their ethics training requirements.
• Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue requirements.
• Work closely with Americas Compliance Training team to identify registered employees who are required to satisfy Firm Element training requirements.

Regulatory Reporting/Filings:
Play a key role in managing/processing filings in accordance with Client, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators.

• Coordinate/submit Client 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure Reports; swap dealer/FCM annual CCO reports

Minimum Required Qualifications:

• BA or BS required.
• Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.
• Strong knowledge of US registration rules and regulations, especially those of the SEC, Client, CFTC/NFA and U.S. state jurisdictions.
• Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.
• Strong organizational and project management skills and attention to detail.
• Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
• Team player and ability to work collaboratively across the platform.
• Ability to understand implications of new regulations and to apply regulations to varying "real world" situations.

Preferred Qualifications:

• U.S. registration and licensing experience a plus.

EEO:

"Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of - Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans."