Registration & Licensing Specialist

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