Description

The Registration Specialist is responsible for the processing, maintenance, and oversight of Financial Professionals’ and Home Office employees’ licensing and registration activities for the firm's broker-dealer and registered investment adviser. This position works closely with Financial Professionals to ensure timely and accurate registration filings while maintaining compliance with FINRA, SEC, state securities, and insurance licensing requirements.

The ideal candidate is highly organized, detail-oriented, customer-focused and friendly, and capable of managing multiple regulatory deadlines in a fast-paced environment. 

Key Responsibilities:

Registration & Licensing

• Process registration updates, including name, address, employment, office location, disclosure, examination, and jurisdictional changes, as well as other Form U4 and Form U5 amendments.
• Process initial, additional, and withdrawal state registration requests.
• Submit and monitor registration requests through FINRA Gateway and Web CRD and resolve registration deficiencies.
• Maintain accurate licensing and registration books and records.
• Assist with annual registration renewals through the “Firms Renewal Program.”
• Assist with the research, review, and response to regulatory inquiries regarding registration and licensing matters, coordinating with Compliance as necessary.

New Financial Professional Onboarding

• Review onboarding paperwork for completeness and regulatory accuracy.
• Coordinate with Compliance, Recruiting, Operations, and Technology to ensure timely, efficient and effective onboarding.
• Serve as a primary point of contact for registration and licensing questions during the onboarding process.

Additional Responsibilities:

• Explain registration requirements and licensing processes to Financial Professionals.
• Partner with Compliance to resolve registration and licensing issues.
• Contact and consult with Financial Professionals to professionally address and resolve identified problematic trends, issues, and concerns, while taking a collaborative and coaching-based approach; provide reasonable recommendations, guidance, and corrective suggestions designed to support regulatory compliance and achieve practical, amicable resolutions.
• Communicate with regulators, vendors, insurance carriers, and state securities agencies, as needed.
• Coordinate fingerprint processing and background checks.
• Identify opportunities to automate and improve registration workflows and departmental processes.
• Provide exceptional service while ensuring compliance with regulatory requirements and firm policies.
• Assist with special projects and other duties as assigned

Benefits:

100% employer-paid health insurance for employees

Vision and Dental insurance

401(k)

401(k) matching

Paid Time Off

Requirements

• 3-5 years of broker-dealer/RIA registration experience.
• Experience with FINRA Gateway, Web CRD, and related registration systems.
• Working knowledge of FINRA, SEC, and state securities registration regulations.
• Ability to work independently, prioritize multiple tasks, meet deadlines, and collaborate across functions.
• Excellent written, verbal, and interpersonal communication skills.
• Strong problem-solving and critical-thinking abilities with exceptional attention to detail.
• Proficiency in Microsoft Office Suite, including Excel, Word, and Outlook. Experience with Redtail and similar databases helpful.
• Highly motivated, self-directed, and committed to providing exceptional service while meeting established deadlines.
• Experience with insurance licensing and appointments preferred.
• Service and relationship-oriented with the ability to not only understand the issues affecting Financial Professionals, but empathize with them and seek logical, equitable, and compliant solutions.
• Employment is contingent upon the successful completion of a background check and providing valid documentation establishing identity and employment eligibility.