Licensing & Registration Compliance Specialist

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

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