Broker Dealer Compliance Consultant

Job Summary

As a fully remote opportunity, the Broker Dealer Compliance Registration Consultant II will serve as a subject matter expert on securities registration and insurance licensing, focusing on onboarding processes while identifying business opportunities and mitigating regulatory risks.

Key Responsibilities

• Serve as a subject matter expert for securities registration, insurance licensing, and representative onboarding processes
• Coordinate and oversee the onboarding of representatives, ensuring compliance with registration and licensing requirements
• Identify operational risks and develop solutions to improve efficiency and compliance in registration and onboarding processes

Required Qualifications

• 4 or more years of experience in broker-dealer registration, insurance licensing, or compliance
• Knowledge of FINRA, SEC, and state regulations related to securities and insurance
• Experience with registration and onboarding systems such as FINRA CRD and RegEd
• Ability to manage multiple priorities and work independently in a dynamic environment
• FINRA Series Industry Exam (SIE), Series 6, 26, and 63 required or ability to acquire within a specified timeframe