Remote Licensing & Registration Lead

NewEdge Wealth LLC.; Northern (KY); Hybrid; USD 75,000 - 90,000; Full time

Job summary

NewEdge Wealth LLC is seeking a Licensing & Registration Manager to lead the firm-wide licensing and registration lifecycle across NES, NEA, and NEW. The role requires independent operation and handles annual renewals, advisor onboarding, and regulatory filing activities.

The ideal candidate has 5+ years of securities licensing experience with FINRA/SEC, supervisory background, and willingness to obtain Series licenses if needed.

Qualifications

• Bachelor’s degree required in business/finance/legal studies or related field.
• At least five years of securities licensing/registration experience with FINRA SEC-registered entities.
• Independent BD or hybrid RIA experience strongly preferred.
• Prior supervisory experience required.
• SIE, Series 6/7, Series 24 preferred; willingness to obtain if not held.

Responsibilities

• Register, terminate, and update registered persons and companies via Form U4/U5/BR with FINRA for broker-dealer and investment adviser.
• Administer Form ADV amendments (Parts 1A/1B/2A/2B) through IARD; maintain Form ADV Part 2B inventory.
• Manage state securities and IAR registrations across jurisdictions; file state notices for SEC-registered advisers.
• Track exam requirements and dual-registrant workflows (RRs and IARs).
• Monitor FINRA Gateway disclosures, organization queue, and alerts; escalate to CCO as needed.
• Manage FINRA firm filings (Form BD, Schedule A/B) and E-Bill processing.
• Issue branch numbers and maintain office records; roster reconciliation.
• Oversee FINRA/SEC regulatory notices and NASAA bulletins; brief CCO on material updates.
• Prepare management reports on registration status, renewals, CE, disclosures.
• Serve as primary contact for regulatory examinations and audits.

Skills

Regulatory expertise

Independent work

Regulatory reporting

Communication skills

Licensing knowledge

Education

Bachelor’s Degree in Business, Finance, Accounting, Legal Studies, or related field

Tools

FINRA Gateway (WebCRD/IARD)

IARD (Form ADV)

NIPR/Sircon

Job description

NewEdge Wealth LLC is seeking a Licensing & Registration Manager to lead the firm-wide licensing and registration lifecycle across NES, NEA, and NEW. The role requires independent operation and handles annual renewals, advisor onboarding, and regulatory filing activities.

The ideal candidate has 5+ years of securities licensing experience with FINRA/SEC, supervisory background, and willingness to obtain Series licenses if needed.