Job Description
Jane Street is seeking a Registrations Specialist to join its Legal and Compliance team. This role is crucial for overseeing the entire registration process for Jane Street's U.S.-based business. Responsibilities include preparing various regulatory filings (U-4s, U-5s, amendments), managing FINRA Web CRD, developing compliance reports, processing employee background checks, and maintaining representative tracking systems. The specialist will also collaborate with business and compliance teams on supervisory lists, respond to regulatory inquiries, and assist with study materials for regulatory exams. Additionally, they will coordinate entity filings with various regulators like FINRA.
Good To Have:
- Work effectively in a challenging, fast-paced environment
Must Have:
- Undergraduate degree
- 3+ years of relevant experience
- Ability to navigate FINRA Web CRD
- Proactive and self-motivated
- Strong organizational skills
- Strong interpersonal skills
- Strong written communication skills
- Understanding of FINRA, SEC, state registrations
- Excellent computer skills, including Excel
- Strong attention to detail
- Ability to handle competing priorities
About the Position
We are looking for a Registrations Specialist to join our growing Legal and Compliance team. This person will be a core part of our Registrations team and be responsible for overseeing the registration process from start to finish for Jane Street’s U.S.-based business.
Specific responsibilities of this role will include:
- Preparing U-4s, U-5s, and any requirement amendments for employees of several broker-dealer entities
- Managing Web CRD queues, reports, and information
- Developing and producing reports to assist with supervision and compliance purposes
- Processing and managing employees’ fingerprints and background checks
- Managing representative tracking system
- Working with the business and compliance teams to maintain a supervisory list
- Researching and responding to regulatory inquiries related to disciplinary histories, terminations for cause, etc.
- Coordinating and assisting with study materials, classes, and regulatory examination preparation
- Coordinating the submission of BD/ADV entity filings for disclosure-related matters with various regulators such as FINRA
About You
- Undergraduate degree required
- 3+ years of relevant experience required
- Ability to navigate FINRA Web CRD
- Proactive and self-motivated with strong organizational, interpersonal, and written communication skills
- Understanding of FINRA, SEC, and state registrations skills
- Excellent computer skills, including Excel
- Strong attention to detail and the ability to handle competing priorities and work effectively in a challenging, fast-paced environment
If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com.
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