Registration Specialist
Job in
Mount Vernon, Westchester County, New York, 10550, USA
Listed on 2026-10-03
Listing for:
Talentify
Full Time
position Listed on 2026-10-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking & Finance
Job Description & How to Apply Below
Title:
Registration Specialist
Duration: 1 Month (possibility for extension to October 2024)
Location:
100% Remote (Candidate may be asked to go to Office once or twice during the assignment)
- The candidate will be expected to assist with the filings of approximately 1200 Form U4 filings in order to update employment address for “Located at” and 'Supervised from” via Gateway.
- In addition, the filing of a number of Form BRs will be required during the assignment.
- Candidate should have an understanding of or be familiar with FINRA Rule 3110 and 3110.17 (expiration of Covid Relief) and 3110.19 FINRA Remote Supervisory Location and Pilot Branch Inspection Program, as these rules will referenced during the Form filing process.
Requirements
- Minimum Degree
Required:
Completed High School (Diploma or GED) - Minimum 3-5 years' experience in a Securities Registration Role.
- Candidate should also have experience with Microsoft Word and Excel, as report updates may be necessary during the project.
- Experience in filing Forms U4 and via FINRA Gateway and strong knowledge of branch office and branch location registration is a must.
- Familiarity with FINRA Rule 3110 (Branch Office Registration) is a plus.
- Experience with Filing, Securities, Excel & MS Word
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