Registration and Onboarding Specialist
Core
Manage daily compliance licensing and registration processes for FINRA Members, including onboarding broker/dealer registrants and Associated Persons, filing regulatory forms, and maintaining documentation.
Role type
Compliance Licensing & Registration Associate
Builds
Regulatory filing workflows and Associated Person registration records for US regulated entities
Domain
Financial Services / Securities Regulation
Required skills
FINRA CRD/Gateway proficiency, regulatory form filing (Form BD, BR, U-4, U-5, NRF), SEC Rule 17a-3 compliance, background check coordination, process improvement, FINRA Rules 1000-3000 knowledge
Preferred skills
AI tool utilization, self-starter mindset, high emotional intelligence, analytical skills
Technologies
FINRA CRD / Gateway, MyComplianceOffice
Responsibilities
Support regulatory filing needs of FINRA Members; File Form U-4, Form U-5, and Amendments; Collect and ensure documentation is retained for Associated Person employee files; Partner with People Team for new hire onboarding including fingerprinting and background checks; Maintain Standard Operating Procedure documentation; Review Outside Business Activities and Professional Designations for policy alignment
Seniority
Mid-level, hands-on IC