What are the responsibilities and job description for the Registration Manager position at Neuberger Berman?
Neuberger Berman’s compliance team is seeking an experienced and detail-oriented Registration Manager that will provide coverage to multiple investment advisers and a registered broker-dealer. The Registration Manager will oversee all aspects of registration and licensing for the firm, ensuring compliance with regulatory requirements set forth by FINRA, the SEC, the NFA, and state regulatory bodies. This position plays a critical role in maintaining the firm's regulatory standing and supporting its growth objectives by managing the registration process for representatives, advisers, and the firm itself. This role will oversee Licensing and Registration Management, Regulatory Compliance, Training and Support and Recordkeeping, Reporting and Coordination.
Key Responsibilities:
- Oversee and manage the registration and licensing process for registered representatives and investment adviser representatives with FINRA, SEC, NFA, and state regulatory agencies
- Maintain and update the registration of broker-dealer and investment adviser branch offices, ensuring compliance with FINRA, SEC, NFA, state and foreign regulatory requirements
- Coordinate the preparation, submission, and tracking of Form U4, U5, and other required filings in the CRD/IARD systems
- Ensure timely renewal of individual and firm registrations, licenses, and filings to avoid lapses or disruptions
- Monitor and interpret applicable regulatory updates and changes from FINRA, SEC, NFA, and state regulators to ensure the firm remains compliant
- Maintain up-to-date knowledge of applicable rules, including FINRA's broker-dealer registration requirements and SEC/NFA/State RIA registration requirements
- Assist with electronic communications review and other compliance obligations
- Provide guidance to representatives and staff regarding licensing requirements and qualifications
- Assist new hires with the registration process and advise on necessary exams such as Series 7, Series 63, Series 65, Series 66, Series 3 and Series 31
- Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements
- Generate and analyze reports related to registration status, CE (Continuing Education) completion, and other regulatory obligations
- Act as the primary liaison with FINRA, SEC, and state regulators regarding registration matters
Qualifications:
- Bachelor’s degree in related business field
- At least 5 years’ experience in registration, licensing, or compliance within a broker-dealer or investment adviser environment
- Proven expertise in utilizing FINRA's CRD and IARD systems
- Strong understanding of FINRA, SEC, and state registration and licensing requirements.
- Exceptional attention to detail and organizational skills
- Ability to manage multiple deadlines and prioritize work effectively
- Strong communication skills to interact with regulators, internal teams, and registered representatives
- Proficiency in using regulatory platforms (CRD/IARD, FINRA Portal) and Microsoft Office Suite
- Demonstrated ability to adapt to regulatory changes and implement appropriate policy updates
- Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
- Experience supporting audits and regulatory examinations related to registration and licensing
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Compensation Details
The salary range for this role is $120,000-$150,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.
Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact
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.Salary : $120,000 - $150,000
