Registration & Licensing Manager

lplfinancial; Fort Mill (SC); On-site; USD 81,000 - 135,000; Full time

Benefits offered by this job

401K matching

Health benefits

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial is seeking a Manager of 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 while guiding registration workflows.

The role requires strong leadership, regulatory knowledge, and collaboration with legal, compliance and advisory colleagues to maintain accurate records, deliver timely submissions, and provide training on registration requirements.

Qualifications

• Knowledge of FINRA, SEC, and state regulations related to broker-dealer and investment adviser registrations.
• Leadership and team management skills with ability to motivate and develop staff.
• Analytical, problem-solving, and decision-making abilities; strong written and verbal communication.
• Proficiency with Microsoft Office and registration platforms (FINRA CRD/IARD).

Responsibilities

• Manage and mentor a team of registration specialists.
• Oversee appointment processes and registration for advisors and firms with FINRA, SEC, and state regulators.
• Ensure timely submission of appointment requests, forms (U4, U5, BD, BR) and supporting docs.
• Develop and implement efficient registration workflows and automation.
• Stay current with evolving regulations and translate changes into internal policies.
• Collaborate with legal, compliance, and other departments on complex issues.
• Audit registration records for accuracy and compliance.
• Prepare and present reports on registration status and metrics to senior management.
• Assist in training advisors and staff on registration requirements and best practices.
• Respond to inquiries from regulators and internal stakeholders.

Skills

Leadership

Regulatory knowledge

Analytical thinking

Communication

Education

Bachelor's degree in business administration or finance

Tools

Microsoft Office

FINRA CRD/IARD

Job description

LPL Financial is seeking a Manager of 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 while guiding registration workflows.

The role requires strong leadership, regulatory knowledge, and collaboration with legal, compliance and advisory colleagues to maintain accurate records, deliver timely submissions, and provide training on registration requirements.