Registration Compliance Manager — Lead & Optimize

LPL Financial

Fort Mill (SC)

On-site

USD 81,000 - 135,000

Full time

9 days ago

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Job summary

LPL Financial is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms. You will ensure compliance with FINRA, SEC, and state regulations, oversee submission of registration forms, and provide guidance on registration requirements.

The role emphasizes collaboration with legal and compliance, process improvement, and training delivery.

Qualifications

Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
Strong leadership and team-management skills with ability to motivate staff.
Analytical, problem-solving, and decision-making abilities.
Excellent written and verbal communication to articulate regulatory information clearly.

Responsibilities

Lead and mentor a team of registration specialists.
Oversee appointment and registration processes with FINRA, SEC and state regulators.
Ensure timely submission of registration forms (U4, U5, BD, BR) and supporting docs.
Develop efficient workflows for registration activities and pursue process improvements.
Stay current with FINRA/SEC/state rules and translate changes into policies.
Collaborate with legal/compliance to resolve complex registration issues.
Conduct audits of registration records for accuracy and compliance.
Prepare reports on registration status and compliance metrics for leadership.
Contribute to training programs for advisors and staff on registration requirements.
Respond to inquiries from regulators and internal stakeholders.