Licensing and Registration Specialist

Next Step Recruiting has partnered with a financial services and capital markets firm in downtown Dallas, TX, to identify a Securities Registration Specialist for an urgent contract opportunity. This role is onsite and will support the firm's Compliance organization during a critical transition period.

This position is well-suited for a senior-level registration professional with deep broker-dealer experience who can step in quickly, work alongside an outgoing team member, and assume ownership of securities registrations and licensing activities. The role works closely with regulators and internal business partners to ensure full compliance with federal and state requirements.

Required:

• Direct, hands-on experience with broker/dealer registration and licensing
• Strong working knowledge of SEC, FINRA, and state securities registration requirements
• Experience processing Forms U4, U5,  , BD, and related state filings
• Prior experience working within a broker-dealer or registered investment advisor environment
• Ability to start quickly and work onsite in downtown Dallas

Preferred:

• Experience using WebCRD or similar registration systems (experience with platform transitions is a plus)
• Background supporting annual registration renewals, fee payments, and assessments
• Experience coordinating licensing exams, fingerprinting, and continuing education tracking
• Strong written and verbal communication skills when working with regulators and internal stakeholders
• Highly organized, detail-oriented, and customer-focused approach

This role provides an opportunity to step into a high-impact compliance function, ensure continuity during a key transition, and support a well-established registration and licensing team.

Next Step Recruiting provides equal employment opportunities (EEO) to all employees and applicants regardless of race, color, or applicable state and local laws governing nondiscrimination in employment in every location where the company has facilities.