Regulatory Licensing & Onboarding Specialist

Rainfall Ventures; Florida; On-site; USD 73,000 - 86,000; Full time

Benefits offered by this job

Bonus opportunities

Equity ownership

401(k) matching

Comprehensive health insurance

Job summary

Rainfall Ventures is seeking a Compliance Licensing & Registration Associate to join the US regulated entities team. You will manage day-to-day registration and onboarding tasks, including handling FINRA filing needs for Form BD, Form BR, U-4/U-5, and related amendments.

Based in the US with hybrid office options (Denver, Chicago, New York, Lake Mary), you will partner with People and Legal teams, advance process improvements, maintain records, and support regulatory disclosures while upholding

Qualifications

• Bachelor’s degree required.
• 5+ years in Compliance, Licensing & Registration, or related Brokerage function.
• Strong knowledge of FINRA CRD / Gateway.
• Experience with FINRA Registration and Rules.
• Excellent written and verbal communication, analytical skills, and attention to detail.
• High emotional intelligence (EQ) and initiative to learn new skills and tools.
• Interest in leveraging AI to increase impact in the role.

Responsibilities

• Handle regulatory filings for FINRA Members (Form BD, Form BR, etc.).
• File Form U-4, U-5, and amendments.
• File NRF and NRF amendments.
• Maintain documentation for Associated Persons per SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks related to Associated Persons requirements.
• Develop and implement process improvements for quality and scalability of registration processes.
• Coordinate onboarding with People Team, including background checks and disclosures.

Skills

Communication skills

Analytical skills

Attention to detail

Emotional intelligence (EQ)

Independent/self-starter

AI tools usage

FINRA Rules knowledge

Education

Bachelor’s Degree in a related field

Job description

Rainfall Ventures is seeking a Compliance Licensing & Registration Associate to join the US regulated entities team. You will manage day-to-day registration and onboarding tasks, including handling FINRA filing needs for Form BD, Form BR, U-4/U-5, and related amendments.

Based in the US with hybrid office options (Denver, Chicago, New York, Lake Mary), you will partner with People and Legal teams, advance process improvements, maintain records, and support regulatory disclosures while upholding