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Essential Duties and Responsibilities

+ Prepares and submits required records for registering/associating candidates in accordance with Firm policies, industry standards, and federal and state securities laws.

+ Establishes and maintains registration-related record keeping systems.

+ Ensures initial registrations/affiliations are processed in a timely and accurate manner.

+ Oversees the submission of initial registration/affiliation applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway.

+ Interprets and summarizes registration/association details from FINRA Gateway system to assist internal stakeholders as requested.

+ Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding FINRA or IAR continuing education (CE) are escalated accordingly

+ Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations.

+ Operates standard office equipment and uses required software applications.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Concepts, principles, and practices of individual securities and advisory registrations and examination requirements.

+ Rules and regulations of the SEC, FINRA, and states/jurisdictions

+ Investment concepts, practices and procedures used in the securities industry.

+ Principles of securities industry operations.

+ Financial markets and products.

Skill in:

+ Preparing complex forms and processing and tracking large volumes of documents.

+ Responding to and resolving inquiries resulting from initial registration requests.

+ Creating and retaining candidate registration/affiliation records electronically.

+ Entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines.

+ Handling multiple telephone lines, inboxes and work queues.

+ Educating internal stakeholders regarding registration requirements and processes.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Attend to detail while maintaining a big picture orientation.

+ Read, interpret, analyze, and apply information from Firm policies and procedures, and regulatory agencies.

+ Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

+ Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

+ Communicate effectively, both orally and in writing.

+ Work independently as well as collaboratively within a team environment.

+ Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

+ Maintain confidentiality of candidates’ personal and registration-related data.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Increase knowledge of SEC, FINRA, states/jurisdictions and other SRO regulations regarding individual registration requirements.

Educational/Previous Experience Requirements

+ High School diploma or equivalent and a minimum of four (4) years of relevant work experience.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Appropriate FINRA series licensure for assigned functional area preferred.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.