Remote Licensing & Registration Lead (FINRA/SEC Expert)

NewEdge Capital Group; United States; Remote; USD 75,000 - 90,000; Full time

Job summary

NewEdge Capital Group seeks a Licensing & Registration Manager to own the full registration lifecycle for RRs and IARs across FINRA, SEC, and state jurisdictions. The role acts as the subject matter expert for licensing and registration within NES, NEA, and NEW, requiring independence and meticulous attention to regulatory deadlines.

Responsibilities include managing Form U4/U5/BR filings, Form ADV amendments, state registrations, and CE compliance, with emphasis on annual renewals and

Qualifications

• Bachelor’s Degree required.
• At least five years of experience in securities licensing and registration at a FINRA member broker-dealer and/or SEC-registered investment adviser.
• Experience at an independent BD or hybrid RIA platform preferred.
• Prior supervisory experience required.
• SIE, Series 6 or 7, Series 24 preferred; willingness to obtain if not held.

Responsibilities

• Register, terminate, and update personnel via Form U4, U5, and BR with FINRA for broker-dealer and investment adviser contexts.
• Administer annual and interim Form ADV amendments through IARD per Advisers Act Rule 204-1; maintain Form ADV Part 2B inventory for IARs.
• Manage state securities and IAR registrations across jurisdictions; file state notices for SEC-registered advisers per NASAA model rules.
• Track Series 7/63/65/66 exam requirements and dual-registrant workflows.
• Monitor FINRA Gateway queues and escalate reportable events to the CCO per FINRA rules.
• Manage FINRA firm-level filings including Form BD amendments and annual renewals; administer E-Bill payments.
• Issue branch numbers and maintain records; perform roster reconciliation.
• Oversee Continuing Education compliance for all registered persons under FINRA Rule 1240; track CE completion.
• Maintain Global Relay archiving configurations; update hierarchy upon changes.
• Monitor FINRA/SEC/NASAA notices; brief the CCO on material developments.
• Prepare management reports on registrations, deadlines, CE, and disclosures.
• Serve as primary contact for regulatory examinations and audits related to licensing and registration.
• Process insurance agency renewals via NIPR/Sircon; track producer license renewals (preferred).

Skills

FINRA Gateway

IARD

SEC Rules

NASAA IAR

Independence

Fast-paced environment

Organization

Communication

RR/IAR experience

Attention to detail

NIPR/Sircon

Education

Bachelor's Degree in Business/Finance/Accounting/Legal Studies

Job description

NewEdge Capital Group seeks a Licensing & Registration Manager to own the full registration lifecycle for RRs and IARs across FINRA, SEC, and state jurisdictions. The role acts as the subject matter expert for licensing and registration within NES, NEA, and NEW, requiring independence and meticulous attention to regulatory deadlines.

Responsibilities include managing Form U4/U5/BR filings, Form ADV amendments, state registrations, and CE compliance, with emphasis on annual renewals and