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Registration & Licensing Specialist at an Investment Bank at NYC | Remote | Temporary
Schedule: Full-time, 5 days per week
Assignment: Temporary, anticipated through January 2027
We’re seeking an experienced Registration & Licensing Specialist for a temporary, full-time remote assignment. This role supports broker-dealer registration and licensing activities, including FINRA and state registrations, regulatory filings, dual registrations, and Residential Supervisory Location (RSL) administration.
Key Responsibilities
- Process new-hire and transfer registrations
- Maintain Form U4 and U5 filings
- Coordinate state and dual-registration requirements
- Track licensing and examination requirements
- Support ongoing registration maintenance and RSL reporting
- Maintain accurate regulatory records
- Partner with Compliance, HR, Legal, and business teams to meet regulatory deadlines
Qualifications
- 3–5 years of broker-dealer registration and licensing experience
- Bachelor’s degree preferred
- Working knowledge of FINRA CRD, Form U4/U5, and state registration requirements
- Experience with dual registrations and branch/RSL reporting
- Strong attention to detail and ability to manage multiple regulatory deadlines
#BrokerDealer #FINRA #FINRACRD #FormU4 #FormU5 #SecuritiesLicensing #StateRegistration #DualRegistration #RSLReporting #RegulatoryCompliance
Salary : $53