Talent.com
Sr Registration Specialist, Broker-Dealer

Sr Registration Specialist, Broker-Dealer

Horace MannLos Angeles, CA, US
Hace 1 día
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

Sr Registration Specialist, Broker-Dealer

Sr. Registration Specialist

Location : Remote

We are seeking a detail-oriented Registration and Licensing Compliance Specialist to support our regulatory and compliance functions. In this role, you will manage registration filings, ensure licensing compliance across the firm, and serve as a subject-matter expert for regulatory requirements. This is an excellent opportunity for a self-motivated professional with a strong understanding of broker-dealer registration processes who thrives in a collaborative, fast-paced environment.

Essential Job Functions

  • Prepare and review Form U4 / U5 filings via FINRA's Web CRD / IARD systems.
  • Manage state registration requests, terminations, and amendments.
  • Ensure licensing requirements are met for all associated persons, including exams and renewals.
  • Review escalated registration cases involving disclosures, dual registrations, or heightened supervision.
  • Partner with HR on onboarding and offboarding of registered personnel.
  • Support the firm's annual renewal process, including reconciliation of fees with Finance.
  • Contribute to the development and maintenance of Written Supervisory Procedures (WSPs) related to registration.
  • Oversee continuing education (CE) compliance, track deadlines, and coordinate reminders.
  • Maintain accurate registration data in firm systems and CRD.
  • Generate and distribute status reports and dashboards for management.
  • Identify and escalate trends, risks, and deficiencies in registration compliance.
  • Serve as a point of contact for registration questions from representatives and managers.
  • Provide guidance and training to staff and business partners.
  • Coordinate with regulators on registration-related inquiries.
  • Contribute to special compliance projects as assigned.

Qualifications

  • Bachelor's degree in Business, Finance, or related field (or equivalent experience).
  • 35 years of experience in broker-dealer registration, licensing, or compliance functions.
  • Proficiency with FINRA Web CRD / IARD, Form U4 / U5 processes, and state registration requirements.
  • Strong knowledge of FINRA, SEC, and state securities regulations.
  • Exceptional attention to detail, organizational skills, and ability to manage multiple priorities.
  • Excellent written and verbal communication skills.

    • Preferred Skills & Certifications

  • Experience with FINRA Gateway and other regulatory filing systems.
  • FINRA SIE, Series 7, and / or Series 24 licenses are strongly preferred.
  • Ability to work independently in a remote environment while maintaining high-quality standards.

    • Pay range : $71,500 $105,400 yearly

    Crear una alerta de empleo para esta búsqueda

    Registration Specialist • Los Angeles, CA, US