About the Position
We are looking for a Registrations Associate 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
The base salary for this role is $115,000 to $150,000. Base salary is only one part of Jane Street total compensation, which also includes an annual discretionary bonus.
If you're a recruiting agency and want to partner with us, please reach out to agency-partnerships@janestreet.com.
