Licensing & Registration Manager

Appone; United States; On-site; USD 75,000 - 90,000; Full time

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)

Skills

FINRA Gateway (WebCRD/IARD)

IARD administration

SEC registration requirements

Regulatory reporting

Independent work

Attention to detail

NIPR/Sircon experience

Supervisory experience

Education

Bachelor's Degree in Business, Finance, Accounting, Legal Studies, or related field

Tools

Form U4/U5/BR filing

FINRA Gateway/WebCRD portals

Job description

As part of the Compliance team, the Licensing & Registration Manager serves as the firm-wide subject matter expert for all securities, investment adviser, and insurance (preferred) licensing and registration activities across NewEdge Securities, LLC (NES), NewEdge Advisors, LLC (NEA), and NewEdge Wealth Management, LLC (NEW). The role owns the full registration lifecycle for registered representatives (RRs), investment adviser representatives (IARs), and dual registrants across FINRA, the SEC, and applicable state jurisdictions. The position requires the ability to operate independently with little to no guidance, and to work effectively in a fast-paced environment during peak periods such as annual renewals and advisor onboarding.

Responsibilites

• 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)

Skills/ Abilities

• Expert-level proficiency in FINRA Gateway (WebCRD/IARD), including entitlement administration, form filing, disclosure queue management, and reporting.
• Demonstrated proficiency with IARD (Form ADV administration) and SEC investment adviser registration requirements.
• Working knowledge of FINRA Rules 1010, 1210, 1220, 1230, 1240, 3110, 3270, and 4530; Advisers Act Rules 204-1, 204-2, 204-3, and 206(4)-7; and NASAA IAR registration requirements.
• Ability to serve as the firm's subject matter expert and operate independently with little to no supervisory guidance.
• Ability to work effectively in a fast-paced environment, particularly during annual renewals, regulatory exams, and large onboarding events.
• Strong organizational skills with ability to manage competing regulatory deadlines across multiple affiliated entities.
• Strong verbal and written communication skills; ability to explain regulatory requirements to non-compliance stakeholders.
• Previous experience working with registered representatives and investment adviser representatives.
• High attention to detail and professionalism in handling confidential regulatory and personal information.
• Experience with NIPR/Sircon for insurance agency and producer licensing, preferred but not required.

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.

Salary: $75,000 - $90,000, based on experience, plus eligibility to participate in the company's bonus program.

About the Organization Who We Are:

NewEdge Capital Group provides best-in-class technology-enabled solutions and support services to financial advisors and their clients. Comprised of NewEdge Wealth, NewEdge Advisors, and NewEdge Securities, they have over $120 billion in client assets and support over 450+ financial advisors servicing several thousand households, family offices and institutions comprising more than 75,000 client accounts.

What We Offer:

Compensation includes a competitive base salary, with the opportunity to qualify for bonuses or commissions based on the position. NewEdge Capital Group offers a comprehensive benefits package to eligible employees, including health, dental, and vision insurance, short- and long-term disability coverage, life insurance, paid time off, paid parental leave, 401(k) match (subject to applicable waiting periods), and additional voluntary and supplemental benefits to elect based on your needs.

Applications will be accepted on an ongoing basis.

EOE Statement NewEdge Capital Group, along with its subsidiaries, is an equal opportunity employer and does not unlawfully discriminate against employees or applicants for employment on the basis of an individual’s race, color, religion, creed, sex, sexual orientation, national origin, age, disability, marital status, veteran status or any other status protected by applicable law.

This position is currently accepting applications.