Director, Head of Registrations

Director, Head Of Registrations

The Head of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across the Americas Division, as a subject matter expert and process owner. This role has primary responsibility for leading and managing a centralized Registrations Program that includes individual and firm registrations, employee lifecycle, continuing education ("CE") program management and Associated Persons ("AP") designation and tracking. The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer, SMBC Americas Division Head of Ethics Office, business unit supervisors, subject matter experts and compliance officers, Legal, Human Resources, Technology, and vendors.

Role Objectives :

• Oversee, lead and manage a team who is responsible for all aspects of following :
• Individual and firm registrations : U4, U5, BD and BR filings, Monthly Safe Harbor tracking and maintain AP list, licenses and supervisory reporting map.
• Entity and individual NFA filings : Forms 7-R and 8-R.
• CIRO and OSC registration for entities and individuals.
• Employee lifecycle : Coordinate with Human Resources on pre-hire background check process, fingerprinting and reporting.
• CE program management : Regulatory element, firm element and contribute to other trainings..
• Assist staff seeking registration, open exam windows, order study materials, submit waiver requests
• Manage certain processes related to AP of SMBC Nikko Americas
• Build strong working relationships with business line supervisors, Compliance, Legal, Human Resources and others across the firm to ensure a collaborative approach to managing the Registrations Program.
• Implement a new registrations application to support workflows across the Registrations Program.
• Manage internal audits and regulatory examinations, and assist with responding to regulatory inquiries.

Respond to FINRA and State regulators as needed

Qualifications and Skills :

SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.

SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.

Nearest Major Market : Jersey City

Nearest Secondary Market : New York City