New York Registration Specialist

Supporting the Registration Department, the full-time Contract Registration & Licensing Specialist will manage securities licensing, FINRA and state registration activities, and regulatory compliance while working remotely. Key responsibilities Support securities licensing, dual-registration filings, and Residential Supervisory Location (RSL) administration Process new hire and transfer registrations, maintain Form U4 and U5 filings, and track licensing requirements Collaborate with Compliance, HR, Legal, and business management to ensure adherence to regulatory requirements Required qualifications Bachelor's degree Working knowledge of FINRA CRD, Form U4/U5, and state registration requirements Experience with dual registrations and branch/RSL reporting Ability to manage multiple regulatory deadlines