Remote Senior Licensing & Registration Manager

NewEdge Capital Group; Northern (KY); Hybrid; USD 75,000 - 90,000; Full time

Job summary

NewEdge Capital Group is seeking a Licensing & Registration Manager to service all securities, investment adviser, and insurance licensing across NES, NEA, and NEW. The role owns the full registration lifecycle for RRs and IARs with FINRA, the SEC, and state jurisdictions, operating independently in a fast-paced environment.

The position requires extensive experience with FINRA Gateway, IARD, and Form ADV administration, plus strong organizational and communication skills for onboarding and

Qualifications

• Expert in FINRA Gateway/WebCRD and IARD administration.
• Deep knowledge of Advisers Act rules and NASAA IAR requirements.
• Experience with multi-entity broker-dealer and independent advisory platforms.
• Ability to work autonomously with minimal supervision during peak periods.

Responsibilities

• Register, terminate, and update licensed persons via Form U4/U5/BR with FINRA.
• Maintain annual and interim Form ADV amendments through IARD.
• Manage state registrations and notice filings for SEC-registered advisers.
• Track exam requirements and dual-registrant workflows for RRs and IARs.
• Monitor FINRA queues and escalate regulatory events to the CCO.
• Oversee FINRA filings, Form BD amendments, and e-bill processing.
• Maintain branch numbers and rosters; supervise roster reconciliation.
• Oversee FINRA CE compliance and regulatory Element completion.
• Update Global Relay configurations; manage registration changes.
• Provide briefings on regulatory notices to leadership.

Skills

FINRA Gateway expertise

IARD administration

SEC registration requirements

NASAA rules knowledge

Independent work

Regulatory reporting

Education

Bachelor’s Degree in Business/Finance/Law

MBA or JD preferred

SIE/Series 6/7 preferred

Tools

FINRA Gateway (WebCRD/IARD)

IARD Form ADV administration

NIPR/Sircon (insurance licensing)

Job description

NewEdge Capital Group is seeking a Licensing & Registration Manager to service all securities, investment adviser, and insurance licensing across NES, NEA, and NEW. The role owns the full registration lifecycle for RRs and IARs with FINRA, the SEC, and state jurisdictions, operating independently in a fast-paced environment.

The position requires extensive experience with FINRA Gateway, IARD, and Form ADV administration, plus strong organizational and communication skills for onboarding and