Registration and Compliance Business Analyst- Charlotte, NC

Position: Business Analyst

Location: Charlotte, NC (Hybrid after training)

Assignment: 03/09/2026 to 12/31/2026 (possible temp to hire or extension)

Pay Range: $46.18 hourly, paid weekly.

Schedule: Monday – Friday, 40 hrs

Job Description:
Serve as the main point of contact for Global Registration Governance within Global Operations. This role involves direct interaction with senior managers and staff to facilitate changes related to registrations with the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC), and National Futures Association (NFA). Responsibilities also include managing FINRA covered person and SEC Swap Based Securities Associated Persons status. The candidate will collaborate closely with Finance's Regulatory Reporting team to; develop commentary for capital charges, prepare monthly/quarterly reports and attestations to document compliance with regulatory requirements, and provide management with timely updates.

Responsibilities:
· Reconciliation of registrations requirements and action remediation
· Timely response to management requests to onboard new registered employees / offboard changing roles or leaving employees
· Management reporting
· Attestation management
· Liaising with other internal departments to ensure timely resolution of registration requirements
· Involvement in ad hoc projects for new processes

Requirements:
· General knowledge of the Securities Industry and Operational Risk
· Previous experience within a regulatory operations environment
· Presentable, confident, and regulatory focused
· Excellent communications skills and ability to present to an audience
· Ability to work under pressure in a team environment
· Ability to liaise with all levels of the firm and people with different experiences and backgrounds
· Self-motivated and able to work unsupervised. Candidate will be able to manage own time and know when to escalate
· Knowledge of Excel, PowerPoint, Word

Other Qualifications:
· Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions
· Excels in working among diverse viewpoints to determine the best path forward
· Commitment to challenging the status quo and promoting positive change
· Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base
· Believes in value of diversity so we can reflect, connect, and meet the diverse needs of our clients and employees around the world

WORKING CONDITIONS:

• May on occasion be exposed to loud sounds and distracting noise levels, such as from office equipment.
• The ability to lift up to 30lbs
• Use of computers and technology

Here at Canon Recruiting, People are our priority, and we are committed to Include Diversity in every segment of who we are. It is only through our Diversity; we are made a stronger organization and increase our ability to provide top tier candidates that our clients have come to know Canon for. We have an inclusive environment all employees are celebrated for their unique differences. The different perspectives and experiences of our workforce give us the competitive advantage that is essential for success in an ever-changing market. By promoting inclusion with the same enthusiasm, we devote to quality and competency and using the experience from a diverse assortment of backgrounds and experiences, Canon can improve the services and value we deliver to clients, employees, and customers. At Canon, Diversification and Inclusiveness are much more than a corporate ambition; they are a critical component in our daily corporate life. Canon Recruiting is committed to a diverse and inclusive workplace. Canon Recruiting is an equal opportunity employer and does not discriminate based on race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status. The pay range for this position is listed above. Base pay information is based on market location. We will consider for employment qualified applicants with arrest and conviction records. Our range of benefits may include health care and 401(k) savings plans. For individuals with disabilities who would like to request an accommodation, please email hr@canonrecruiting.com