FINRA Licensed Registration Specialist
Job Summary
Supporting the Compliance Department, the full-time FINRA Licensed Registration Specialist will process securities registrations and insurance licensing for representatives, maintain database systems, and provide timely responses to registration issues, with the option to work remotely from various locations.
Key responsibilities
- Process and maintain securities registrations and insurance licenses for associated individuals
- Maintain database systems to support the registration and licensing processes
- Provide accurate responses to registration and licensing inquiries from sales force and management
Required qualifications
- High school diploma or equivalent
- 2+ years of experience in compliance, regulatory, investment, or insurance support
- Knowledge of securities and insurance industry regulations
- Experience with complex databases and strong computer skills
- Ability to meet deadlines and work in a self-directed manner
Complete Job Description
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