New York Registration Specialist
Job Summary
Supporting the Registration Department, the full-time Contract Registration & Licensing Specialist will manage securities licensing, FINRA and state registration activities, and regulatory compliance while working remotely.
Key responsibilities
- Support securities licensing, dual-registration filings, and Residential Supervisory Location (RSL) administration
- Process new hire and transfer registrations, maintain Form U4 and U5 filings, and track licensing requirements
- Collaborate with Compliance, HR, Legal, and business management to ensure adherence to regulatory requirements
Required qualifications
- Bachelor's degree
- Working knowledge of FINRA CRD, Form U4/U5, and state registration requirements
- Experience with dual registrations and branch/RSL reporting
- Ability to manage multiple regulatory deadlines
Complete Job Description
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