Licensing & Registration Specialist (Contract) - LA

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

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.