New York Licensed Registration Specialist

Job Summary

Supporting the Registration Department, the onsite Temporary Registration & Licensing Specialist will manage securities licensing, client and state registration activities, and regulatory recordkeeping for a 5-month contract with potential extension.

Key responsibilities

• Process new hire and transfer registrations, maintaining Form U4 and U5 filings
• Coordinate state registration and dual-registration requirements, ensuring compliance with regulatory standards
• Track licensing and examination requirements while assisting with ongoing registration maintenance and RSL reporting

Required qualifications

• 3-5+ years of broker-dealer registration and securities licensing experience in financial services
• Strong working knowledge of Client CRD, Form U4/U5, and state registration requirements
• Experience with dual registrations and branch/RSL reporting
• Proven ability to manage multiple regulatory filings and compliance records
• Bachelor's degree preferred