Registrations & Onboarding Analyst

Steward Partners; United States; Remote; USD 65,000 - 130,000; Full time

Job summary

Steward Partners seeks a Registrations and Onboarding Analyst to support regulatory onboarding and manage registration-related processes. This is a key role focusing on process efficiency within a dynamic financial services environment, ideal for candidates with a strong background in licensing and compliance.

Benefits

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

Qualifications

• Minimum of 2 years experience in financial services.
• Active FINRA Series 7 license preferred.
• Strong working knowledge of regulatory systems.

Responsibilities

• Manage the intake of registration-related requests.
• Coordinate regulatory filings including Form U4 and U5.
• Update internal recordkeeping systems for individuals and branches.

Skills

Attention to detail

Time management

Communication skills

Organizational skills

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

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Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Registrations and Onboarding Analyst plays a central role in supporting the Firm’s regulatory onboarding and registration processes. Serving as a key liaison between affiliated persons and the Licensing & Registrations (“L&R”) team, this individual manages the intake of registration-related requests, ensures timely and accurate processing of onboarding activities, and supports ongoing regulatory maintenance for both individuals and branch locations. The role requires strong organizational skills, attention to detail, and the ability to navigate regulatory systems and frameworks.

The Registrations and Onboarding Analyst is responsible for managing the centralized L&R inbox, coordinating regulatory filings such as Form U4, U5, and Form BR, and maintaining accurate internal records. This role involves close collaboration with internal partners, including support for regulatory inquiries and internal audits. The ideal candidate is a proactive, team-oriented professional with a strong understanding of licensing requirements and a commitment to process efficiency and risk mitigation.

Key Responsibilities:

• Function as the liaison between affiliated persons and L&R team for initial intake of L&R related activities
• Manage the centralized L&R e-mail inbox and determine needed actions from incoming requests
• Assist L&R team members in all aspects of the onboarding process including, but not limited to, the creation of initial Form U4 and Form BR regulatory filings, submission of fingerprints to the appropriate regulator(s), compilation of all needed documentation in an onboarding packet, etc.
• Assist with L&R workflows including Form U4 amendments, drafting of Form U5 filings, and recommend escalated reviews
• Maintain and update Form BR filings, including review of new branch locations and initial setup for new branches
• Update internal recordkeeping systems, for branches and individual partner information, as necessary
• Provide recommendations to, and escalate issues within, the L&R team, as necessary
• Work with L&R team members regarding reporting requests in response to regulatory and internal inquiries including Rule 3120 and 206-4(7) requests from Compliance or other internal partners
• Communicate with state regulators for general regulatory matters as directed by the Head of Licensing and Registrations

Skills, Experience & Qualifications:

• Minimum of 2 years of professional experience in financial services: Licensing and Registrations, Supervisory or Risk and Compliance
• Active FINRA Series 7 license preferred
• Strong working knowledge of the rules, regulations, and policies applicable to L&R and ability to distill practical applications of such rules, regulations and policies
• Proven ability to identify and review complex issues in a team environment, offering input and working with various levels of management and business partners to resolve
• Experience with regulatory systems and analyzing data (e.g., WebCRD, IARD, etc.)
• Experience with technology as a tool to implement policies and create efficiencies
• Strong time management and communication skills (verbal and written)
• Highly detail oriented with the ability to juggle multiple tasks with varying degrees of urgency
• Ability to work under pressure, prioritize team success and meet deadlines
• Flexible and adaptable to changing processes and working environment
• Proficiency with Microsoft Word, Excel, and PowerPoint

Reports To:

Head of Licensing & Registrations

Location:

Remote

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

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