Broker-Dealer Registration Specialist

A company is looking for a Sr Registration Specialist, Broker-Dealer.

Key Responsibilities

Prepare and review Form U4 / U5 filings and manage state registration requests

Ensure compliance with licensing requirements and oversee continuing education compliance

Serve as a point of contact for registration inquiries and provide guidance to staff

Required Qualifications

Bachelor's degree in Business, Finance, or a related field (or equivalent experience)

3-5 years of experience in broker-dealer registration, licensing, or compliance

Proficiency with FINRA Web CRD / IARD and state registration requirements

Strong knowledge of FINRA, SEC, and state securities regulations

Experience with regulatory filing systems is preferred