Horace Mann
Sr Registration Specialist, Broker-Dealer
Horace Mann, Myrtle Point, Oregon, United States, 97458
Employer Industry: Financial Services
Why consider this job opportunity
Salary up to $105,400 yearly
Opportunity for career advancement and growth within the organization
Work remotely with flexible arrangements
Supportive and collaborative work environment
Chance to contribute to compliance and regulatory functions that impact educators nationwide
What to Expect (Job Responsibilities)
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
Serve as a point of contact for registration questions from representatives and managers
Contribute to the development and maintenance of Written Supervisory Procedures (WSPs) related to registration
What is Required (Qualifications)
Bachelor’s degree in Business, Finance, or related field (or equivalent experience)
3–5 years of experience in broker-dealer registration, licensing, or compliance functions
Proficiency with FINRA Web CRD/IARD, Form U4/U5 processes, and state registration requirements
Strong knowledge of FINRA, SEC, and state securities regulations
Exceptional attention to detail and organizational skills
How to Stand Out (Preferred Qualifications)
Experience with FINRA Gateway and other regulatory filing systems
FINRA SIE, Series 7, and/or Series 24 licenses are strongly preferred
Ability to work independently in a remote environment while maintaining high-quality standards
We prioritize candidate privacy and champion equal‑opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
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Why consider this job opportunity
Salary up to $105,400 yearly
Opportunity for career advancement and growth within the organization
Work remotely with flexible arrangements
Supportive and collaborative work environment
Chance to contribute to compliance and regulatory functions that impact educators nationwide
What to Expect (Job Responsibilities)
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
Serve as a point of contact for registration questions from representatives and managers
Contribute to the development and maintenance of Written Supervisory Procedures (WSPs) related to registration
What is Required (Qualifications)
Bachelor’s degree in Business, Finance, or related field (or equivalent experience)
3–5 years of experience in broker-dealer registration, licensing, or compliance functions
Proficiency with FINRA Web CRD/IARD, Form U4/U5 processes, and state registration requirements
Strong knowledge of FINRA, SEC, and state securities regulations
Exceptional attention to detail and organizational skills
How to Stand Out (Preferred Qualifications)
Experience with FINRA Gateway and other regulatory filing systems
FINRA SIE, Series 7, and/or Series 24 licenses are strongly preferred
Ability to work independently in a remote environment while maintaining high-quality standards
We prioritize candidate privacy and champion equal‑opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.
#J-18808-Ljbffr