Licensing and Registration

Full Time



One of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

We are currently seeking an innovative, proactive and driven Registration and Licensing Manager. The role is responsible for improving, developing, implementing, and maintaining all aspects of the Registration & Licensing department.


·       Manage the Registration and Licensing team

·       Oversee the on-boarding and off-boarding processes for FINRA Registered Representatives (Broker-Dealer) and Registered Agents (Investment Adviser)

·       Effectively work with supervisors regarding inquires received from regulators regarding registration statuses and disclosures for registered persons

·       Manage the Individual CE notifications and ensure that registered individuals are completing individual CE requirements timely

·       Open exam windows, order study materials

·       Audit and process all FINRA-related invoices

·       Update and submit Form BR, Form BD, Form ADV

·       Serve as a resource for registration and licensing questions from hiring managers and employees

·       Perform other duties as required and assigned


·       Advanced knowledge of the FINRA Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD) system and licensing requirements

·       Expert understanding of Form BD, Form BR, Form ADV

·       Organized, detail oriented, and ability to work independently

·       Strong decision making and investigative skills, analytical skills as well as problem-solving, and critical-thinking skills

·       Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization

·       Strong management and supervision skills

·       Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)

Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on