Licensing and Registration Assistant

Randstad USA; Los Angeles (CA); On-site; USD 44,000 - 49,000; Full time

Job summary

Randstad USA in Los Angeles is seeking a Licensing & Registration Specialist (Contract) to join a compliance team. You will manage filings, monitor regulatory milestones, and verify onboarding for registered representatives.

This role requires 2+ years in licensing/registration and familiarity with FINRA/SEC rules, with MS Office proficiency. The position offers a contract arrangement in Los Angeles, with hourly pay of $32–$35.86 and standard 8 AM–5 PM hours.

Qualifications

• 2+ years in licensing and registration, compliance administration, or regulated operations.
• Familiarity with FINRA, SEC, Web CRD, or FINRA Gateway is advantageous; quick learners welcome.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook).
• Discretion with confidential records, sound judgment, and effective communication across teams.
• Education: Associate or bachelor’s degree preferred, or equivalent experience.

Responsibilities

• Drive Regulatory Filings: Prepare and submit securities registrations, licensing applications, amendments, and renewals with precision.
• Monitor Milestones: Track FINRA continuing education timelines and regulatory deadlines for prompt compliance.
• Guide Onboarding Verifications: Coordinate pre-employment background checks and documentation for registered representatives and adviser representatives.
• Uphold Quality Standards: Conduct quality control reviews within Web CRD and FINRA Gateway, resolving discrepancies swiftly.
• Streamline Operations: Maintain accurate regulatory records, assist with system improvements, and answer team inquiries.

Job description

Licensing & Registration Specialist (Contract) – Los Angeles

Ready to advance your career in financial services compliance? We are seeking a Licensing & Registration Assistant to join a collaborative compliance team in Los Angeles. In this vital role, you will champion securities registration workflows, protect regulatory integrity, and partner with experienced leaders.

How You Will Make an Impact

• Drive Regulatory Filings: Prepare and submit securities registrations, licensing applications, amendments, and renewals with precision.
• Monitor Milestones: Track FINRA continuing education timelines and regulatory deadlines to ensure prompt compliance.
• Guide Onboarding Verifications: Coordinate pre-employment background checks and documentation for registered representatives and adviser representatives.
• Uphold Quality Standards: Conduct quality control reviews within Web CRD and FINRA Gateway, resolving discrepancies swiftly.
• Streamline Operations: Maintain accurate regulatory records, assist with system improvements, and answer team inquiries.

What You Bring to the Team

• Experience: 2+years in licensing and registration, compliance administration, or regulated operations.
• Regulatory Acumen: Familiarity with FINRA, SEC, Web CRD, or FINRA Gateway is advantageous; quick learners are welcome.
• Technical Agility: Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook).
• Core Strengths: Discretion with confidential records, sound judgment, and constructive communication across teams.
• Education: Associate or bachelor’s degree preferred, or equivalent experience.

salary: $32 - $35.86 per hour

shift: First

work hours: 8 AM - 5 PM

education: Bachelors

Skills

• Licensing Registration
• FINRA
• SEC
• Web CRD
• FINRA Gateway
• MS Office
• Financial Administrative Asst.
• Licensing
• Administrative Duties

Qualifications

• Years of experience: 2 years
• Experience level: Experienced

Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

At Randstad, we welcome people of all abilities and want to ensure that our hiring and interview process meets the needs of all applicants.

If you require a reasonable accommodation to make your application or interview experience a great one, please contact [e-mail].

Pay offered to a successful candidate will be based on several factors including the candidate's education, work experience, work location, specific job duties, certifications, etc.

In addition, Randstad offers a comprehensive benefits package, including: medical, prescription, dental, vision, AD&D, and life insurance offerings, short-term disability, and a 401K plan (all benefits are based on eligibility).

This posting is open for thirty (30) days.

Qualified applicants in San Francisco with criminal histories will be considered for employment in accordance with the San Francisco Fair Chance Ordinance.

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.

We will consider for employment all qualified Applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.

Experience

• Experienced
• 2 years

Education

• Bachelors