What are the responsibilities and job description for the Registration & Licensing Specialist position at Phaxis?
Process and maintain regulatory filings, including Client Forms U-4, U-5, BR, Client, and various state-mandated documents.
Guide new representatives through the licensing and registration process, ensuring compliance with regulatory requirements.
Liaise with regulators, internal business units, and Compliance leadership regarding background disclosures, disciplinary matters, and waiver requests.
Manage and maintain fingerprinting records in accordance with regulatory guidelines.
Coordinate study materials, training sessions, and schedule qualification examinations for representatives.
Track and notify registered representatives of upcoming Client regulatory element deadlines and state-mandated continuing education requirements.
Process periodic regulatory fees and assessments on behalf of the firm.
Oversee the annual registration renewal process for the firm, branch offices, and registered representatives.
Support additional compliance initiatives and projects as needed.
Keep a pulse on the job market with advanced job matching technology.
If your compensation planning software is too rigid to deploy winning incentive strategies, it’s time to find an adaptable solution.
Compensation Planning
Enhance your organization's compensation strategy with salary data sets that HR and team managers can use to pay your staff right.
Surveys & Data Sets
What is the career path for a Registration & Licensing Specialist?
Sign up to receive alerts about other jobs on the Registration & Licensing Specialist career path by checking the boxes next to the positions that interest you.
Demo
MI
Full Time