Analyst, Compliance Registrations
Company: BGC Partners
Location: Jacksonville
Posted on: March 31, 2026
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Job Description:
We are seeking a Compliance Analyst to join our team in
Jacksonville, FL. This role is crucial in maintaining the firms
compliance with regulatory bodies. The ideal candidate will have a
strong understanding of securities and futures regulations and be
able to work collaboratively with various teams. They will assist
in preparing and filing regulatory forms, tracking deadlines, and
ensuring the firms compliance calendar is up-to-date.
Responsibilities Monitor and maintain firm and individual
registrations on FINRA Web CRD, IARD, and NFA ORS platforms. Assist
with the preparation and filing of regulatory forms, including U4,
U5, BD, BR, 8-R, 8-T, ADV, and 7-R. Collaborate with Legal, HR, and
supervisory teams to meet Rule 4530 reporting and disclosure
obligations. Help track deadlines and update the compliance
calendar for timely regulatory filings and renewals. Support the
opening of qualification exam windows, monitor exam activity, and
maintain records. Assist with the firms Continuing Education
program by tracking module completion. Perform pre-hire
registration checks, including background reviews and fingerprint
submissions. Coordinate study materials for licensing exams and
continuing education. Communicate with regulators to resolve
registration issues and support inquiries. Draft correspondence to
regulatory bodies under supervision. Qualifications Bachelors
degree is required, with a preference for coursework or internships
in compliance, finance, or legal studies. 0-2 years of experience
in compliance, legal, or regulatory functions is preferred. Basic
familiarity with securities and futures regulations is essential.
Exposure to FINRA Gateway, NFA ORS, or EDGAR is an advantage.
Strong organizational skills, attention to detail, and the ability
to meet deadlines are crucial. Excellent written and verbal
communication skills are required. Eagerness to learn and the
ability to work independently and in a team are key attributes.
Proficiency in Microsoft Office Suite (Excel, Outlook, Word) is
necessary. High integrity, discretion, and professionalism are
expected. A willingness to undergo training for specific platforms
and regulations is beneficial.
Keywords: BGC Partners, Gainesville , Analyst, Compliance Registrations, Legal , Jacksonville, Florida
