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About the Role

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.

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

Requirements

• 3–5+ years of broker-dealer registration and licensing experience
• 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

Skills

• BrokerDealer
• FINRA
• FINRACRD
• FormU4
• FormU5
• SecuritiesLicensing
• StateRegistration
• DualRegistration
• RSLReporting
• RegulatoryCompliance

Location

• NYC
• Remote

Work Type

• Full-time
• Remote
• Temporary

Experience Level

• 3-5+ years

Education Level

• Bachelor’s degree preferred

About the Company

• Investment Bank