Senior Licensing & Registration Specialist

NewEdge Capital Group; United States; Sur place; USD 75 000 - 90 000; Plein temps

Avantages offerts par ce poste

Bonus program

Health, dental, and vision insurance

Disability insurance

Life insurance

Paid time off

Paid parental leave

401(k) match

Résumé du poste

NewEdge Capital Group seeks a Licensing & Registration Manager to oversee securities, investment adviser, and preferred insurance licensing across NES, NEA, and NEW. You will own the full registration lifecycle for RRs, IARs, and dual-registrants with FINRA, the SEC, and state jurisdictions.

The role requires independent work, strong organizational skills, and experience during peak periods like renewals and onboarding. Salary ranges reflect experience with a comprehensive benefits package.

Qualifications

• Bachelor's degree in a related field.
• 5+ years of securities licensing and registration experience at a FINRA member broker-dealer or SEC-registered 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.

Responsabilités

• Register, terminate, and update registered persons and companies via Form U4, U5, and BR with FINRA for broker-dealer and adviser through FINRA Gateway.
• Administer annual and interim Form ADV amendments through IARD; maintain Form ADV Part 2B inventory.
• Manage state registrations and notices across jurisdictions; process state filings for SEC-registered advisers.
• Track exam requirements and dual-registrant workflows for RRs and IARs.
• Monitor FINRA Gateway queues; escalate material issues to the CCO as needed.
• Manage FINRA filings, including BD amendments and renewal statements; handle E-Bill payments.
• Issue branch numbers and maintain records of offices; roster reconciliation.
• Oversee FINRA and SEC regulatory notices; brief CCO on developments.
• Prepare management reports on registration status, renewals, CE, and disclosures.

Connaissances

FINRA Gateway WebCRD/IARD

IARD Form ADV administration

FINRA Rules knowledge

Securities licensing experience

Independent, self-starter

Regulatory deadline management

NIPR/Sircon experience

Communication skills

Supervisory experience

Formation

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

Outils

FINRA Gateway

IARD

Description du poste

NewEdge Capital Group seeks a Licensing & Registration Manager to oversee securities, investment adviser, and preferred insurance licensing across NES, NEA, and NEW. You will own the full registration lifecycle for RRs, IARs, and dual-registrants with FINRA, the SEC, and state jurisdictions.

The role requires independent work, strong organizational skills, and experience during peak periods like renewals and onboarding. Salary ranges reflect experience with a comprehensive benefits package.