Securities Registrations Specialist (Remote - US)

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Securities Registrations Specialist in the United States.

In this fully remote role, you will manage the end-to-end registration process for individuals affiliated with U.S. broker-dealers, ensuring compliance with securities, commodities, municipal advisor, and investment advisor regulations. You will handle license applications, updates, and terminations while maintaining accurate registration databases and coordinating with regulatory bodies such as FINRA, NFA, and state authorities. Your work will support regulatory adherence across multiple business lines, enable smooth onboarding of new hires, and contribute to the integrity of compliance reporting. This position offers an opportunity to build expertise in financial regulations, data accuracy, and interdepartmental collaboration while working in a dynamic, highly regulated environment.

Accountabilities:

• Prepare and submit initial applications for securities, investment advisor, municipal advisor, and commodities licenses.
• Coordinate branch and entity registration forms, and process terminations as required.
• Manage consent and disclosure checks for potential new hires.
• Process Form U4, U5, and 8R filings, including updates for name changes, address changes, and disclosures.
• Communicate with FINRA, NFA, and state regulators to resolve registration matters.
• Maintain and reconcile registration databases, track regulatory continuing education, and generate reporting.
• Research and correct licensing deficiencies, ensuring employees remain appropriately licensed.

• Bachelor’s degree or equivalent work experience.
• 2–4 years of experience in banking or financial services, preferably in compliance or registration roles.
• Familiarity with MS Office applications (Word, Excel, PowerPoint).
• Knowledge of regulatory systems such as FINRA Gateway, Form ADV, MSRB/Edgar, and NFA ORS is a plus.
• Strong interpersonal and communication skills with the ability to handle escalations professionally.
• Problem-solving orientation, attention to detail, and commitment to regulatory compliance.

• Competitive salary with potential performance-based incentives ($45,000–$85,000 depending on experience and registration status).
• Comprehensive healthcare coverage including medical, dental, and vision plans.
• 401(k) program with company-matching contributions.
• Paid time off and holidays, including volunteering opportunities.
• Professional development support, including tuition reimbursement and coaching.
• Flexible, fully remote work environment.
• Opportunities to make a meaningful impact and work in a collaborative, high-performing team.

Jobgether is a Talent Matching Platform that partners with companies worldwide to efficiently connect top talent with the right opportunities through AI-driven job matching.

When you apply, your profile goes through our AI-powered screening process designed to identify top talent efficiently and fairly.
🔍 Our AI evaluates your CV and LinkedIn profile thoroughly, analyzing your skills, experience, and achievements.
📊 It compares your profile to the job’s core requirements and past success factors to determine your match score.
🎯 Based on this analysis, we automatically shortlist the 3 candidates with the highest match to the role.
🧠 When necessary, our human team may perform an additional manual review to ensure no strong profile is missed.

The process is transparent, skills-based, and free of bias — focusing solely on your fit for the role. Once the shortlist is completed, we share it directly with the company that owns the job opening. The final decision and next steps (such as interviews or additional assessments) are then made by their internal hiring team.

Thank you for your interest!

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