FINRA Licensing & Compliance Specialist

Realta Wealth; Minnesota; On-site; USD 75,000 - 85,000; Full time

Benefits offered by this job

PTO

Medical

Dental/Vision

401K with match

FSA

Job summary

Realta Wealth is seeking a Compliance Associate to support FINRA licensing and regulatory filings in a fast-paced financial-services environment. You will manage Form U4/U5 filings, maintain records, and coordinate with advisors, supervisors, and outside counsel.

On-site at Minneapolis, MN or Wilmington, DE, you will oversee renewal deadlines, educate stakeholders, and assist with exams and arbitrations while upholding confidentiality and professional standards.

Qualifications

• Bachelor's degree or paralegal certification required; prior paralegal or legal support experience preferred.
• 2+ years of experience in a broker/dealer, RIA, law firm, or financial-services compliance environment (FINRA-regulated experience strongly preferred).
• Familiarity with FINRA Web CRD / Gateway, Forms U4 and U5, and licensing/registration workflows.
• Strong organizational skills with the ability to manage multiple deadlines and regulatory tasks simultaneously.
• Excellent written and verbal communication skills and high attention to detail.
• Ability to handle confidential and sensitive information with discretion.
• Proficiency with Microsoft Office and document-management tools.

Responsibilities

• Oversee and administer FINRA licensing and registration processes for registered representatives and principals, including filing and monitoring Form U4, U5, and amendments through FINRA Gateway / Web CRD.
• Maintain accurate registration records, track renewal deadlines, exam windows, continuing education requirements, and jurisdictional filings.
• Serve as a primary point of contact for licensing-related inquiries from advisors, supervisors, and internal stakeholders.
• Prepare documentation and organize responses for FINRA and SEC examinations, regulatory inquiries, and routine compliance reviews.
• Provide administrative and coordination support for FINRA arbitration and mediation matters, including document collection, case tracking, scheduling, and correspondence with outside counsel as needed.
• Assist with maintaining compliance calendars, policies, procedures, and audit documentation.
• Support the onboarding and termination process for registered personnel to ensure timely and accurate regulatory filings.
• Collaborate with Compliance leadership on special projects, risk assessments, and control enhancements.
• Ensure all work is performed in accordance with regulatory requirements and firm standards of professionalism, confidentiality, and accuracy.

Skills

FINRA licensing

Regulatory filings

Attention to detail

Written & verbal communication

Confidential information handling

MS Office

Education

Bachelor's degree or paralegal certification

Tools

FINRA Gateway/Web CRD

Job description

Realta Wealth is seeking a Compliance Associate to support FINRA licensing and regulatory filings in a fast-paced financial-services environment. You will manage Form U4/U5 filings, maintain records, and coordinate with advisors, supervisors, and outside counsel.

On-site at Minneapolis, MN or Wilmington, DE, you will oversee renewal deadlines, educate stakeholders, and assist with exams and arbitrations while upholding confidentiality and professional standards.