Senior Registration Specialist

Job Summary

A company is looking for a Sr Registration Specialist (Work From Home).

Key Responsibilities

• Review and audit agent contract files and prepare licensing/registration paperwork
• Maintain agent registrations in the FINRA Central Registration Depository (CRD) and other systems
• Assist in developing new workflows and procedures to enhance operational efficiency

Required Qualifications

• Bachelor's degree in a business-related field or equivalent education/experience
• Three years of experience in securities registration or five years in broker/dealer operations or compliance
• Proficiency using MS Office tools
• Knowledge of rules/regulations governing firm registration procedures
• Experience with CAESAR back-office system and/or AWD document management is preferred