Registration and Licensing Specialist 2.8 2.8 out of 5 stars New York, NY 10017 • Hybrid work Our client, a well-known financial services firm in Midtown, NY, is looking for a Licensing and Registration specialist to join their broker dealer team. This person will be responsible for onboarding, registering, and licensing the firm's registered representatives and agents. The candidate will be tracking licensing requirements and submitting U4s. This person will be responsible for offboarding as well, including U5 submissions and NRF terminations. The ideal candidate will come with at least 5 years of registration experience for a Broker Dealer or Registered Investment Advisor, exceptional attention to detail, and advanced knowledge of FINRA forms and reporting guidelines for Registered Representatives.

Responsibilities Include:

Onboarding new registered representatives and agents to secure FINRA licensing and registration Submitting U5 forms and coordinating any required insurance licensing and documentation Offboarding representatives and agents, including submission of U5 forms and

NRT Terminations Requirements:

At least 3 years of experience in onboarding representatives and agents for a Broker Dealer and/or Registered Investment Advisor Strong knowledge of FINRA rules and forms, especially U4 and U5 Exceptional attention to detail and the ability to work independently, both in an in-office and remote work environment

Job Type:

Full-time Pay:

$30.00 - $35.00 per hour

Schedule:

Monday to Friday Ability to

Commute:

New York, NY 10017 (Required) Ability to

Relocate:

New York, NY 10017: Relocate before starting work (Required)

Work Location:

Hybrid remote in New York, NY 10017