Registrations Analyst

SMBC Group is a top-tier global financial group with a diverse range of financial services. The Registrations Analyst will be responsible for executing the registrations process, including individual and firm registrations, employee lifecycle management, and continuing education program management. Responsibilities Prepare U4, U5, BD and BR filings, Monthly Safe Harbor filings Maintain associated persons (“AP”) list, licenses and supervisory reporting map Review workflow queues and reports, e.g., FINRA Web CRD Process fingerprinting and background check procedures Coordinate study materials and regulatory examination preparation Other duties as required Skills Undergraduate degree required Approximately 1-3 years of relevant broker-dealer compliance and/or registrations experience, preferably within a financial services firm Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs Excellent written and verbal communication skills Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics Benefits Annual discretionary incentive award Competitive portfolio of benefits Company Overview SMBC Group is a top-tier global financial group. It was founded in 1590, and is headquartered in New York, New York, USA, with a workforce of 10001+ employees. Its website is Company H1B Sponsorship SMBC Group has a track record of offering H1B sponsorships, with 160 in 2025, 87 in 2024, 73 in 2023, 44 in 2022, 29 in 2021, 26 in 2020. Please note that this does not guarantee sponsorship for this specific role.