Sr Registration Specialist, Broker-Dealer

Sr Registration Specialist, Broker-Dealer

Sr. Registration Specialist

Location : Remote

We are seeking a detail-oriented Registration and Licensing Compliance Specialist to support our regulatory and compliance functions. In this role, you will manage registration filings, ensure licensing compliance across the firm, and serve as a subject-matter expert for regulatory requirements. This is an excellent opportunity for a self-motivated professional with a strong understanding of broker-dealer registration processes who thrives in a collaborative, fast-paced environment.

Essential Job Functions

• Prepare and review Form U4 / U5 filings via FINRA's Web CRD / IARD systems.
• Manage state registration requests, terminations, and amendments.
• Ensure licensing requirements are met for all associated persons, including exams and renewals.
• Review escalated registration cases involving disclosures, dual registrations, or heightened supervision.
• Partner with HR on onboarding and offboarding of registered personnel.
• Support the firm's annual renewal process, including reconciliation of fees with Finance.
• Contribute to the development and maintenance of Written Supervisory Procedures (WSPs) related to registration.
• Oversee continuing education (CE) compliance, track deadlines, and coordinate reminders.
• Maintain accurate registration data in firm systems and CRD.
• Generate and distribute status reports and dashboards for management.
• Identify and escalate trends, risks, and deficiencies in registration compliance.
• Serve as a point of contact for registration questions from representatives and managers.
• Provide guidance and training to staff and business partners.
• Coordinate with regulators on registration-related inquiries.
• Contribute to special compliance projects as assigned.

Qualifications

Preferred Skills & Certifications

Pay range : $71,500 $105,400 yearly