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FINRA Licensing & Registration Associate – Pre-Employment (Hybrid, 4 days onsite- Friday’s remote)
Los Angeles, CA 90071
6 months (potential extension)
Overview:
The Licensing & Registration Contractor provides compliance support to the Compliance Licensing & Registration team. This role is responsible for assisting with pre-employment background checks, FINRA registration, continuing education, and regulatory filing processes for registered representatives and investment adviser representatives.
Working under the direction of the Licensing & Registration team and reporting to the Licensing & Registration Manager, the associate supports routine processes, maintains accurate records, monitors deadlines, reviews documentation for completeness, and helps ensure compliance with applicable regulatory requirements and internal policies. The ideal candidate demonstrates strong organizational skills, attention to detail, professionalism, and the ability to handle sensitive and confidential information.
Primary responsibilities/essential functions:
- Assist with the processing and maintenance of securities registrations, licensing applications, amendments, terminations, and renewals.
- Monitor registration, continuing education, and other regulatory deadlines and support timely completion of required activities.
- Prepare, review, and maintain regulatory filings, supporting documentation, and records within licensing and registration systems.
- Conduct quality control reviews to identify discrepancies, incomplete submissions, or potential issues requiring escalation.
- Maintain accurate records and reporting related to registrations, licensing status, examinations, continuing education, and regulatory requirements.
- Respond to routine inquiries from associates, managers, compliance partners, and human resources regarding licensing and registration matters.
- Assist with ongoing process improvement initiatives, testing activities, and reporting within the Compliance department.
- Handle confidential employee and regulatory information with discretion and professionalism.
Qualifications:
- 1-3 years of experience in licensing and registration, compliance, operations, human resources administration, financial services, or another regulated environment.
- Prior experience with FINRA, SEC, state registration requirements, Web CRD, FINRA Gateway, or similar regulatory platforms is preferred but not required.
- Experience managing detailed administrative processes, documentation, records, or regulatory filings.
- Proficiency with Microsoft Office applications, particularly Outlook, Excel, Word, and PowerPoint.
- Ability to learn regulatory concepts, licensing systems, internal policies, and new technologies quickly.
- Associate’s or bachelor’s degree preferred, or equivalent combination of education and relevant experience.