Licensing & Registration Admin

Ultimate Staffing Services; Los Angeles (CA); On-site; USD 41,000 - 49,000; Full time

Job summary

Ultimate Staffing Services in Los Angeles is seeking a Licensing & Registration Contractor to support compliance activities for registered representatives and investment adviser representatives. The role involves pre-employment background checks, FINRA registration, continuing education, and regulatory filing processes, with a focus on accuracy and confidentiality.

Reporting to the Licensing & Registration Manager, you will handle routine processes, maintain records, monitor deadlines, and

Qualifications

• 1–3 years in licensing and registration or related regulated environments.
• Experience managing regulatory filings and records.
• Strong organizational skills and attention to detail.
• Ability to handle confidential information with discretion.

Responsibilities

• Assist with processing and maintenance of securities registrations, licensing applications, amendments, terminations, and renewals.
• Monitor deadlines for continuing education and regulatory requirements.
• Prepare and maintain regulatory filings and supporting documentation.
• Conduct quality control reviews to identify discrepancies or incomplete submissions.
• Maintain accurate records and reporting for registrations and licensing status.
• Respond to inquiries from associates, managers, and HR regarding licensing matters.

Skills

Initiative

Influence

Communication

Attention to detail

Multitasking

Discretion

Education

Associate/Bachelor's degree preferred

Tools

Outlook

Excel

Word

PowerPoint

Job description

Salary: USD30 - USD35.86 per hour

W-2 Contract Role

Duration - 6 Months

Max Pay - $30 to $35.83/hour

Licensing & Registration - Contractor

Position Summary

The Licensing & Registration Contractor provides compliance support to the Compliance Licensing & Registration team. This role is responsible for assisting with pre-employment background checks, FINRA registration, continuing education, and regulatory filing processes for registered representatives and investment adviser representatives.

Working under the direction of the Licensing & Registration team and reporting to the Licensing & Registration Manager, the associate supports

routine processes, maintains accurate records, monitors deadlines, reviews documentation for completeness, and helps ensure compliance with applicable regulatory requirements and internal policies. The ideal candidate demonstrates strong organizational skills, attention to detail, professionalism, and the ability to handle sensitive and confidential information.

Primary Responsibilities

• Assist with the processing and maintenance of securities registrations, licensing applications, amendments, terminations, and renewals.
• Monitor registration, continuing education, and other regulatory deadlines and support timely completion of required activities.
• Prepare, review, and maintain regulatory filings, supporting documentation, and records within licensing and registration systems.
• Conduct quality control reviews to identify discrepancies, incomplete submissions, or potential issues requiring escalation.
• Maintain accurate records and reporting related to registrations, licensing status, examinations, continuing education, and regulatory requirements.
• Respond to routine inquiries from associates, managers, compliance partners, and human resources regarding licensing and registration matters.
• Assist with ongoing process improvement initiatives, testing activities, and reporting within the Compliance department.
• Handle confidential employee and regulatory information with discretion and professionalism.

Required Experience & Qualifications

• 1-3 years of experience in licensing and registration, compliance, operations, human resources administration, financial services, or another regulated environment.
• Experience managing detailed administrative processes, documentation, records, or regulatory filings.
• Strong organizational skills with the ability to manage multiple tasks and deadlines simultaneously.
• Exceptional attention to detail and a demonstrated ability to identify and resolve discrepancies.
• Ability to handle confidential and sensitive information with integrity and discretion.
• Strong written and verbal communication skills.
• Proficiency with Microsoft Office applications, particularly Outlook, Excel, Word, and PowerPoint.
• Ability to learn regulatory concepts, licensing systems, internal policies, and new technologies quickly.
• Prior experience with FINRA, SEC, state registration requirements, Web CRD, FINRA Gateway, or similar regulatory platforms is preferred but not required.
• Associate's or bachelor's degree preferred, or equivalent combination of education and relevant experience.

Ideal Candidate Profile

The ideal candidate is an organized, detail-oriented professional who enjoys working with structured processes and regulatory information. They are comfortable managing administrative tasks, reviewing documentation for accuracy, tracking deadlines, and supporting compliance-related activities in a highly regulated environment. The successful candidate demonstrates strong follow-through, a customer-service mindset, and the ability to manage confidential information while contributing to the efficient operation of the Licensing & Registration function.

Skills/Qualifications:

• Demonstrates initiative by identifying issues for managers/others.
• Demonstrates ability to influence others.
• Demonstrates effective written and oral communication skills with a diverse group of associates and senior business leaders.
• Demonstrates sound judgment in resolving matters of moderate complexity.
• Demonstrates ability to prioritize assigned work and complete in a timely manner.
• Demonstrates effective and professional service orientation and builds rapport with internal and external contacts.
• Consistently demonstrates the ability to evaluate and appropriately address privacy and confidentiality concerns when dealing with others.
• Demonstrates working knowledge of Microsoft Office and other relevant software and applies it to work assignments, especially Outlook, Word, Excel and PowerPoint.
• Demonstrates working knowledge of department’s function and applies it to work - assignments.
• Requires 3-5 years of experience as an administrative assistant.