Senior Registration Analyst

Neuberger Berman
New York, NY
Job Description
Neuberger Berman is seeking a Senior Registration Analyst to join their Legal and Compliance team. The role focuses on processing registration information for US regulatory requirements, supporting new hires and current employees with licensing and registration matters. This includes managing applications, updating licenses, and overseeing regulatory reporting.

Requirements

  • Review and complete pre-hire requests for potential new hires.
  • Monitor fingerprint submissions, review and distribute new hire documents.
  • Ensure timely processing of FINRA Gateway filings.
  • Manage FINRA Gateway queues and reports.
  • Research and respond to regulatory inquiries.
  • Coordinate study materials and regulatory exam preparation.
  • Monitor and review email communications.
  • Review and update registration policies and procedures annually.
  • Maintain accurate registration records.

Benefits

  • paid time off
  • medical/dental/vision insurance
  • 401(k)
  • life insurance
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