VirtualVocations
A company is looking for a Sr Registration Specialist, Broker-Dealer.
Key Responsibilities Prepare and review Form U4 / U5 filings and manage state registration requests
Ensure compliance with licensing requirements and oversee continuing education compliance
Serve as a point of contact for registration inquiries and provide guidance to staff
Required Qualifications Bachelor's degree in Business, Finance, or a related field (or equivalent experience)
3-5 years of experience in broker-dealer registration, licensing, or compliance
Proficiency with FINRA Web CRD / IARD and state registration requirements
Strong knowledge of FINRA, SEC, and state securities regulations
Experience with regulatory filing systems is preferred
#J-18808-Ljbffr
Key Responsibilities Prepare and review Form U4 / U5 filings and manage state registration requests
Ensure compliance with licensing requirements and oversee continuing education compliance
Serve as a point of contact for registration inquiries and provide guidance to staff
Required Qualifications Bachelor's degree in Business, Finance, or a related field (or equivalent experience)
3-5 years of experience in broker-dealer registration, licensing, or compliance
Proficiency with FINRA Web CRD / IARD and state registration requirements
Strong knowledge of FINRA, SEC, and state securities regulations
Experience with regulatory filing systems is preferred
#J-18808-Ljbffr