Compliance Specialist II; Registration

Opportunity

This position is responsible for processing initial and ongoing registration requirements for registered representatives and associated persons of affiliated broker‑dealers. The role will serve as the primary interface with registered representatives for all registration matters.

• Oversight of internal employees typically in a Team Leader role
• Assist candidates with onboarding and understanding of various registration requirements pursuant to FINRA, State and ACA Foreshore policy
• Prepare background information and communicate critical deadlines and instructions
• Follow established procedures to process FINRA and State registration or termination of registration for representatives and associated persons
• Assist candidates with regulatory examination and continuing education arrangements
• Enter critical information into databases and maintain detailed documents according to established protocol
• Troubleshoot problems and investigate issues involving registration
• Serve as a key resource to clients, representatives and staff, including regular participation in group meetings involving registration and related matters
• Serve as a team resource that assists management with requests for information
• Subject matter expert on specific registration related tasks
• Assist with project oversight
• Allocate assignments and projects
• Review and approval of certain registration related documents prior to final submission
• Knowledge and understanding of FINRA, SEC and State rules and regulations and ability to apply as appropriate
• Other tasks and projects as assigned

• Bachelor’s degree or equivalent work experience
• Minimum of five years of related experience

• FINRA licenses; SIE, Series 7 and 24 is a plus, but we are open to having the selected candidate obtain these licenses shortly after hire.

• Familiarity with FINRA’s Web CRD system and related forms as well as general understanding of common business software systems
• In‑depth understanding of SEC, FINRA and state rules that govern broker‑dealer, office and representative supervision
• Experienced user of standard office and regulatory software preferred
• Excellent written and verbal communication skills
• Strong interpersonal and collaboration skills
• Excellent analytical, reasoning and problem‑solving skills
• Ability to understand, interpret and communicate rules and regulations
• Ability to prioritize workflow and meet multiple deadlines with limited supervision
• Self‑starter and team player with the ability to work with limited supervision
• High attention to detail
• Ability to skillfully interact with clients

We offer a competitive compensation package based on performance, with a total rewards package that includes medical and dental coverage, a 401(k) plan, a wide range of paid time off options, and flexible work arrangements. Additional benefits include ACA Paid Holidays, Summer Fridays, Personal/Family Care, other leaves of absence, Student Debt Forgiveness and Pet Insurance. Salary Range: $70,000 plus bonus.

We are firmly committed to a policy of nondiscrimination, which applies to all employment decisions. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or protected veteran status, in accordance with applicable law.