Registration & Licensing Specialist

Position type: Full-time contract (6+ months)
Location: Remote
Shift: 9:00 AM – 5:00 PM EST

Responsibilities

• Support the Registration Department with securities licensing, FINRA and state registration activities, dual-registration filings, and Residential Supervisory Location (RSL) administration.
• Process new hire and transfer registrations, maintain Form U4 and U5 filings, coordinate state registration and dual-registration requirements, track licensing and examination requirements, support ongoing registration maintenance, and assist with RSL reporting and regulatory recordkeeping.
• Work closely with Compliance, HR, Legal, and business management to ensure timely and accurate regulatory filings and adherence to FINRA, SEC, and state regulatory requirements.
• Align with registration maintenance, state registration oversight, supervisory reporting, and RSL administration reflected in internal registration procedures and compliance materials.

Requirements

• Bachelor’s degree
• Working knowledge of FINRA CRD, Form U4/U5, and state registration requirements
• Experience supporting dual registrations and branch/RSL reporting
• Strong attention to detail and ability to manage multiple regulatory deadlines

Pay

Pay Range: $50 – $54 per hour
*Pay range offered to a successful candidate will be based on several factors, including the candidate’s education, work experience, work location, specific job duties, certifications, etc.

Benefits

• Medical & pharmacy coverage
• Dental/vision insurance
• 401(k)
• Health Savings Account (HSA) and Flexible Spending Account (FSA)
• Life Insurance
• Pet Insurance
• Short-term and Long-term Disability
• Accident & Critical Illness coverage
• Pre-paid legal & ID theft protection
• Sick time and other types of paid leaves (as required by law)
• Employee Assistance Program (EAP)