Legal & Compliance - Broker Dealer (FINRA Registration Support), Associate
$115,000 - $150,000 per year
ApplyLegal & Compliance - Broker Dealer (FINRA Registration Support), Associate
Posted 3 days ago
SENIORITY
Senior
SALARY
$115,000 - $150,000 per year
About the role
- Assist in drafting and maintaining FINRA Forms and Filings (e.g., U4, U5, BR, and BD)
- Monitor exam status reports and follow-up with registered representatives pending examinations
- Assist with annual FINRA/States registration renewals
- Assist in scheduling FINRA exams, fingerprints, and ordering study materials
- Assist with drafting FINRA licensing waiver requests and FINRA review of trading requests
- Coordinate with compliance team members to assess FINRA registration requirements
- Track FINRA continuing education requirements and escalate when necessary
- Maintain list of branch offices and BD/IA affiliates
- Create and maintain complete records for each registered representative and FINRA Gateway user accounts
- Research applicability of FINRA licensing rules to the firm
- Review registered representative disclosures and correct licensing deficiencies
- Develop and maintain FINRA licensing policies, procedures and controls to ensure adherence to laws, regulations and firm standards
- Proficiency in FINRA licensing and registrations and a working knowledge of FINRA Gateway
- Bachelor's degree or equivalent 2+ years of working experience, ideally at a major financial services firm in compliance
- Proficient in Microsoft-based software products including Word, Excel, and Outlook
- Strong commitment to providing excellent customer service
- Strong analytical skills, attention to detail, and multitasking skills
- Works well independently while collaborating effectively as part of a team
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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