Job Description

Licensing & Registration Specialist

📍 Onsite – Dallas | 💵 Up to $58K

A well-established broker-dealer is seeking a Licensing & Registration Specialist to join their compliance team. This role is ideal for someone detail-oriented and organized, with a strong interest in the regulatory side of financial services. You'll play a key role in maintaining licensing and registration records, guiding new reps through the process, and ensuring the firm stays compliant with FINRA, SEC, and state regulations.

Key Responsibilities:

• Process and maintain regulatory filings, including FINRA Forms U4, U5, BR, and other state-required documents.
• Assist new registered reps through the licensing and registration process.
• Work closely with regulators, internal teams, and Compliance leadership on background disclosures, disciplinary matters, and waiver requests.
• Manage fingerprinting records in line with regulatory requirements.
• Coordinate exam scheduling, study materials, and training sessions for reps.
• Monitor and track continuing education deadlines, including FINRA regulatory elements and state-mandated training.
• Process regulatory fees and assessments for the firm.
• Manage the firm’s annual registration renewal process for reps and branch locations.
• Support other compliance projects and initiatives as needed.

What You Bring:

• Prior experience in a compliance or operations role within financial services.
• Strong attention to detail and organizational skills.
• Familiarity with FINRA systems and filings is a plus.
• Ability to work effectively in a fast-paced, fully onsite environment.

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