Manager, Registrations
Core
Lead a team responsible for the licensing, appointment, and registration of financial professionals and firms, ensuring compliance with state DOI, FINRA, and SEC regulations.
Role type
Manager, Registrations
Builds
Regulatory compliance infrastructure for financial advisors and firms
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Team leadership and mentoring, FINRA/SEC/state securities regulations knowledge, registration process management, workflow optimization, regulatory audit, stakeholder collaboration, training program development
Preferred skills
Bachelor's degree in Business/Finance, 5+ years in financial services, 2+ years in leadership within registrations/compliance, FINRA Series 7 and Series 24
Technologies
Microsoft Office Suite, FINRA CRD/IARD platforms
Responsibilities
Manage and mentor a team of registration specialists; oversee appointment processes for new and existing financial advisors and firms; ensure timely and accurate submission of registration forms (U4, U5, BD, BR); develop and implement efficient workflows and procedures; stay current with evolving regulations and translate changes into internal policies; conduct regular audits of registration records; prepare and present reports on registration status and compliance metrics; assist in developing training programs for advisors and staff; respond to inquiries from regulatory bodies and stakeholders.
Seniority
Manager, hands-on leadership