Licensing & Registration Compliance Lead (Senior)

NewEdge Capital Group LLC

United States

Remote

USD 75,000 - 90,000

Full time

14 days+

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Benefits offered by this job

Health insurance

401(k) match

Job summary

NewEdge Capital Group is seeking a Licensing & Registration Manager to oversee the firm-wide licensing and registration lifecycle for RRs, IARs, and dual registrants across FINRA, the SEC, and state jurisdictions. You will manage Form U4/U5/BR filings, Form ADV amendments, and ongoing regulatory reporting with independence during peak periods.

The role requires exceptional attention to detail, supervisory experience, and familiarity with FINRA rules, Advisers Act requirements, and insurance

Qualifications

Bachelor's Degree in Business, Finance, Accounting, Legal Studies, or related field.
At least five years of experience in securities licensing and registration at a FINRA member broker-dealer and/or SEC-registered investment adviser.
Experience at an independent BD or hybrid RIA platform strongly preferred.
Prior supervisory experience required.
SIE, Series 6 or 7, Series 24 are preferred. If candidate does not currently hold these licenses, must be willing to obtain.
Experience with NIPR/Sircon for insurance agency and producer licensing is preferred but not required.

Responsibilities

Register, terminate, and update registered persons and companies via Form U4, U5, and BR with FINRA for both broker-dealer and investment adviser through FINRA Gateway (WebCRD/IARD).
Administer annual and interim Form ADV amendments (Parts 1A, 1B, 2A, and 2B) through IARD per Advisers Act Rule 204-1; assist in maintaining Form ADV Part 2B inventory for all IARs.
Manage state securities and IAR registrations across all applicable jurisdictions; process state notice filings for SEC-registered advisers consistent with NASAA model rules.
Track Series 7/63/65/66 exam requirements, professional designation waivers, and dual-registrant workflows for individuals registered as both RRs and IARs.
Monitor and process the FINRA Gateway Disclosure Queue, Organization Queue, and Alerts; elevate reportable events to the CCO per FINRA Rules 1010 and 4530 timing requirements.
Manage FINRA firm-level filings including Form BD amendments, Schedule A/B updates, and annual renewal statements; administer E-Bill payment processing.
Issue branch numbers and maintain records of all registered and non-registered offices via Form BR; perform periodic roster reconciliation.
Oversee Continuing Education (CE) compliance for all registered persons under FINRA Rule 1240; track Regulatory Element and Firm Element completion.
Maintain Global Relay (or equivalent archiving platform) group/rep configurations; update hierarchy tree upon registration changes.
Monitor FINRA Regulatory Notices, SEC releases, and NASAA bulletins for registration impacts; brief the CCO on material developments.
Prepare management reports on registration status, renewal deadlines, CE completion, and disclosure events.
Serve as primary contact for regulatory examinations and audits related to licensing and registration.
Process insurance agency annual reports and renewals through NIPR/Sircon and individual states; track individual producer license renewals and appointments (preferred; not required)