Job Description

Job Description

About the Role:

This prestigious investment management firm is seeking a Registration Specialist to join their Legal and Compliance team. In this role, the specialist will focus on the day-to-day processing of registration information to ensure full compliance with U.S. regulatory requirements. Responsibilities include supporting both new hires and current employees with licensing and registration matters, collaborating with various regulators, managing applications, maintaining and updating licenses, overseeing terminations, handling state registrations, and assisting with related regulatory reporting. The ideal candidate will have strong attention to detail, a solid understanding of regulatory compliance processes, and the ability to navigate complex regulatory frameworks efficiently.

The role offers a hybrid in-office and work from home flexibility.

Responsibilities:

• Review and complete pre-hire Workday requests for potential new hires.
• Manage new hire onboarding, including monitoring fingerprint submissions, distributing compliance documents, reviewing background checks, and advising on required exams.
• Process FINRA Gateway filings (Form U4/U5, Form BR/BD, NFA Form 8R/8T) and related amendments in a timely manner.
• Maintain accurate registration records and ensure compliance with recordkeeping requirements.
• Manage FINRA Gateway queues, reports, and regulatory information requests.
• Provide reporting to business management, supervision, and compliance teams to meet regulatory obligations.
• Research and respond to regulatory inquiries regarding disciplinary histories, terminations for cause, and other compliance matters.
• Coordinate study materials and regulatory exam preparation for employees.
• Monitor and review email communications as part of compliance controls.
• Review and update registration policies and procedures annually or as needed.

Qualifications:

• Bachelor’s degree in a related business field.
• 3–5 years of experience in registration, licensing, or compliance within a broker-dealer or investment adviser.
• Strong understanding of FINRA, SEC, and state registration/licensing requirements.
• Proactive, highly organized, and able to meet multiple deadlines.
• Excellent interpersonal, oral, and written communication skills.
• Proficient in regulatory platforms (FINRA Gateway CRD/IARD, NFA ORS) and Microsoft Office Suite, including Excel and Workday.
• Ability to adapt to regulatory changes and update policies accordingly.
• Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers.
• Experience supporting audits and regulatory examinations related to registration and licensing.

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