Registrations & Licensing Leader

LPL Financial; Tempe (AZ); On-site; USD 81,000 - 135,000; Full time

Benefits offered by this job

401K matching

Employee stock options

Paid time off

Volunteer time off

Job summary

LPL Financial in Tempe, AZ is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms, ensuring compliance with FINRA, SEC, and state regulations.

You will develop workflows, stay current with regulatory changes, collaborate with legal and compliance, and provide training on registration requirements, while delivering accurate reports to senior management.

Qualifications

• Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
• Leadership and team management skills with a proven ability to motivate and develop staff.
• Analytical, problem-solving, and decision-making abilities.
• Written and verbal communication skills, with the ability to articulate complex regulatory information clearly.
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with registration platforms (e.g., FINRA CRD/IARD).
• Ability to work effectively in a fast-paced, highly regulated environment.

Responsibilities

• Manage and mentor a team of registration specialists, fostering a collaborative and high-performing environment.
• Oversee the appointment process for LPLE and LPLF, registration processes for new and existing financial advisors, representatives, and firms with FINRA, SEC, and state regulatory bodies.
• Ensure timely and accurate submission of all required appointment requests, registration forms (e.g., U4, U5, BD, BR) and supporting documentation.
• Develop and implement efficient workflows and procedures for registration activities, identifying areas for process improvement and automation.
• Stay current with evolving FINRA, SEC, and state regulations related to licensing and registration, and translate these changes into actionable internal policies and procedures.
• Collaborate with legal, compliance, and other internal departments to address complex registration issues and provide expert guidance.
• Conduct regular audits of registration records to ensure accuracy, completeness, and compliance.
• Prepare and present reports on registration status, trends, and compliance metrics to senior management.
• Assist in the development and delivery of training programs for advisors and internal staff on registration requirements and best practices.
• Respond to inquiries from regulatory bodies, internal stakeholders, and financial professionals regarding registration matters.

Skills

Leadership

Regulatory knowledge

Analytical

Communication

MS Office

Registration platforms

Education

Bachelor's degree in business administration or finance

Tools

FINRA CRD/IARD

Job description

LPL Financial in Tempe, AZ is seeking a Manager, Registrations to lead a team responsible for licensing, appointment, and registration of financial professionals and firms, ensuring compliance with FINRA, SEC, and state regulations.

You will develop workflows, stay current with regulatory changes, collaborate with legal and compliance, and provide training on registration requirements, while delivering accurate reports to senior management.