Registration Compliance Officer
Company: Axelon Services Corporation
Location: Jersey City
Posted on: July 1, 2025
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Job Description:
Job Title: Registration Compliance Officer Location: Jersey
City, NJ Overview: The Registrations Compliance Officer is
responsible for maintaining accurate and complete Client and
CFTC/NFA registrations for Registered Representatives and swap
dealers. This role ensures corporate filings and reporting
obligations are fulfilled in a timely manner, while providing
guidance on regulatory requirements. Key Responsibilities:
Registration & Licensing Compliance Provide guidance on
registration and licensing requirements, processes, and procedures.
Timely process Form U4, U5, 8R, and 8T for new and existing
employees. Ensure employees in roles requiring securities/futures
licenses are appropriately licensed or complete required exams.
Prepare exemption/waiver requests for qualified representatives.
Coordinate and process Form Client and Form 7R filings/amendments
for broker-dealers, FCMs, and swap dealers. Track and monitor
pending exam statuses; update and distribute reports monthly to
senior management, supervisors, and compliance teams. Navigate and
utilize Client Gateway/Web CRD, NFA ORS, and Winjammer Electronic
Filing System. Policy Development & Collaboration Collaborate with
departments on projects, policy development, and issue resolution
to mitigate risk. Develop and enhance policies and procedures to
comply with regulations from SEC, Client, CFTC, NFA, state
jurisdictions, and other SROs. Participate in industry working
groups (e.g., SIFMA, Association of Registration Management),
attend conferences, and apply insights to improve processes.
Continuing Education Notify registered representatives of their
regulatory continuing education and NFA Ethics Training
requirements. Maintain training completion logs and send reminders
to representatives, supervisors, and compliance officers. Escalate
non-compliance issues promptly to appropriate parties. Coordinate
ethics training distribution with vendors and monitor completion.
Partner with Compliance Training teams to identify and track
employees who require Firm Element training. Regulatory Reporting &
Filings Manage and process regulatory filings in accordance with
Client, NFA, and CFTC requirements. Notify relevant departments
when regulatory filings are due. Collaborate with Compliance,
Legal, HR, and business teams to gather necessary documents and
data. Submit and manage: Client 4530 filings CFTC 1.12 filings
Quarterly Swap Dealer Risk Exposure Reports Annual CCO reports for
swap dealers/FCMs Minimum Required Qualifications: Bachelor s
degree (BA or BS) required. Minimum of 10 years of compliance
experience within a broker-dealer or financial services
environment. Strong knowledge of U.S. registration rules and
regulations (SEC, Client, CFTC/NFA, and state jurisdictions).
Proven ability to meet deadlines, manage multiple priorities, and
adapt to a dynamic environment. Strong attention to detail and
excellent project management skills. Effective communication and
interpersonal skills, with experience working across various
departments and levels. Collaborative team player with the ability
to apply regulatory knowledge to real-world scenarios. Preferred
Qualifications: U.S. registration and licensing experience is a
plus.
Keywords: Axelon Services Corporation, Edison , Registration Compliance Officer, IT / Software / Systems , Jersey City, New Jersey
