Senior FINRA Registrations Compliance Analyst 3540439

Company: Axiom Path
Location: New York City
Posted on: February 18, 2026

Job Description:

Job Description Job Description Be Part Of A High-Performing Global Financial Services Team This opportunity sits within the Americas Compliance division of a leading global financial institution with a strong presence in capital markets and broker-dealer operations. The organization operates in a highly regulated environment and maintains a rigorous commitment to ethical standards, regulatory integrity, and operational excellence. The Registration Team plays a critical role within Employee Compliance, overseeing FINRA registrations and licensing processes for the firm, its branch offices, and associated persons. The team collaborates closely with first- and second-line stakeholders to ensure accurate filings, supervisory alignment, and full regulatory compliance across the broker-dealer platform. The environment is structured, detail-driven, and fast-paced, with high visibility across compliance and business leadership. What’s In Store For You Opportunity to contribute to a high-impact compliance function supporting regulated broker-dealer operations Exposure to cross-functional collaboration across compliance, legal, HR, and business units Hybrid work environment based in New York City Short-term, high-visibility engagement supporting a critical regulatory program How You Will Make An Impact Prepare and submit regulatory filings including Form U4, U5, BD, BR, and Monthly Safe Harbor filings Maintain and reconcile Associated Persons (AP) lists, licensing records, and supervisory reporting structures Review and manage workflow queues and reporting tools including FINRA Web CRD and Gateway Support fingerprinting and background check processes to ensure regulatory adherence Coordinate study materials and examination preparation logistics for regulatory licensing Contribute to process enhancements and strengthening of registration program controls Partner with stakeholders across compliance and supervisory functions to ensure accurate execution of registration processes Are you an experienced broker-dealer registrations professional ready to make an impact? 10 years of experience in securities broker-dealer registrations and licensing Strong working knowledge of FINRA rules and associated person requirements Hands-on experience preparing and filing Forms U4, U5, BD, BR, and Safe Harbor filings Proficiency with FINRA Web CRD, Gateway, and related regulatory systems Experience maintaining supervisory assignment structures and AP reporting maps Familiarity with fingerprinting and background check compliance procedures Strong written and verbal communication skills Proactive, self-directed work style with the ability to support evolving compliance programs

Keywords: Axiom Path, Yonkers , Senior FINRA Registrations Compliance Analyst 3540439, Accounting, Auditing , New York City, New York