Securities Registrations Specialist Remote (US)
Job role insights
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Date posted
29.10.2025
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Closing date
23.11.2025
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Offered salary
Min: $7,083/month
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Career level
Middle
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Qualification
Bachelor
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Experience
2-3 years
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Quantity
5 person
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Gender
Male Or Female
Description
Location: United States
Join a dynamic team as a Securities Registrations Specialist and manage the end-to-end registration process for professionals affiliated with U.S. broker-dealers. This fully remote role focuses on regulatory compliance, licensing, and registration, ensuring adherence to securities, commodities, municipal advisor, and investment advisor regulations. You’ll work closely with regulatory bodies like FINRA, NFA, and state authorities while supporting smooth onboarding and compliance across multiple business lines.
Key Responsibilities:
- Prepare and submit initial applications for securities, investment advisor, municipal advisor, and commodities licenses.
- Coordinate branch and entity registration forms, and process terminations as required.
- Handle consent and disclosure checks for potential new hires.
- Process Form U4, U5, and 8R filings, including updates for name or address changes and disclosures.
- Communicate with FINRA, NFA, and state regulators to resolve registration issues.
- Maintain and reconcile registration databases, track regulatory continuing education, and generate reporting.
- Research and correct licensing deficiencies to ensure employees remain properly licensed.
Education and Experience:
- Bachelor’s degree in Finance, Business Administration, or a related field, or equivalent work experience.
- 2–4 years of experience in banking, financial services, compliance, or registration roles.
- Familiarity with regulatory systems such as FINRA Gateway, Form ADV, MSRB/Edgar, and NFA ORS is a plus.
- Proficiency in Microsoft Office applications (Word, Excel, PowerPoint).
- Strong interpersonal and communication skills, with the ability to handle escalations professionally.
- Detail-oriented, problem-solving mindset, and commitment to regulatory compliance.
Why You’ll Love This Role:
- Competitive salary with potential performance-based incentives.
- Comprehensive healthcare coverage including medical, dental, and vision plans.
- 401(k) program with company-matching contributions.
- Paid time off, holidays, and volunteer opportunities.
- Professional development support, including tuition reimbursement and coaching.
- Flexible, fully remote work environment with opportunities to make a meaningful impact.
How to Apply
If you’re interested in this position, please register on our portal and submit your application through the link below:
👉 Register & Apply at TeezJobs.com
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Yes, this role is 100% remote and can be performed from anywhere in the United States.
Q2: What are the key responsibilities of this role?
The Specialist manages the end-to-end registration process for individuals affiliated with U.S. broker-dealers, handles license applications and terminations, coordinates with regulatory bodies like FINRA and NFA, and maintains accurate registration databases.
Q3: What qualifications do I need?
A bachelor’s degree or equivalent work experience is required. Candidates should have 2–4 years in banking, financial services, or compliance, with familiarity in regulatory systems such as FINRA Gateway, Form ADV, MSRB/Edgar, or NFA ORS preferred.
Skills
Maps
Interested in this job?
23 days left to apply
