What are the responsibilities and job description for the Licensing and Registration Specialist position at NextStep Recruiting?
NextStep Recruiting is partnering with a financial services client in downtown Dallas to find a Registration and Licensing Specialist to support their Compliance Department. This role focuses on broker / dealer agent and investment advisor representative registration and reports to the Compliance Manager.
Key Responsibilities :
- Manage SEC, FINRA, and state securities registration and licensing for the firm and employees
- Process FINRA forms (U-4, U-5, BR, BD) and state filings
- Assist new hires through the registration and licensing process
- Maintain fingerprint records and track continuing education deadlines
- Handle regulator correspondence and assist with waiver requests
- Oversee the annual registration renewal process and fee payments
- Support additional compliance tasks as needed
Qualifications :
Apply today for immediate consideration!
NextStep Recruiting provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, genetics or sexual orientation. In addition to federal law requirements, NextStep Recruiting complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.
