Senior Registrations Associate

Senior Registrations Associate

Requirements

• Knowledge of concepts, principles, and practices of individual securities and advisory registrations and examination requirements.
• Knowledge of rules and regulations of the SEC, FINRA, and states/jurisdictions.
• Knowledge of investment concepts, practices and procedures used in the securities industry.
• Knowledge of principles of securities industry operations.
• Knowledge of financial markets and products.
• Skill in preparing complex forms and processing and tracking large volumes of documents.
• Skill in responding to and resolving inquiries resulting from initial registration requests.
• Skill in creating and retaining candidate registration records electronically.
• Skill in entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines.
• Skill in handling multiple telephone lines and email inboxes.
• Skill in explaining registration requirements and process to others.
• Skill in operating standard office equipment and using required software applications.
• Ability to attend to detail while maintaining a big picture orientation.
• Ability to read, interpret, analyze, and apply information from regulatory agencies.
• Ability to influence, motivate and persuade others to achieve desired outcomes without organizational authority.
• Ability to interpret and apply policies and identify and recommend changes as appropriate.
• Ability to work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.
• Ability to communicate effectively, both orally and in writing.
• Ability to work independently as well as collaboratively within a team environment.
• Ability to handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.
• Ability to maintain confidentiality of candidates’ personal and registrations data.
• Ability to establish and maintain effective working relationships at all levels of the organization.
• Ability to increase knowledge of SEC, FINRA, state/jurisdiction and other SRO regulations regarding individual registrations.

Responsibilities

• Performs initial registration and licensing functions for RJFS/RJFSA candidates, both non-registered and registered.
• Prepares and submits required forms for registering candidates in accordance with Firm policies, industry standards, and federal and state securities laws.
• Establishes and maintains registration record keeping systems.
• Ensures initial registrations are processed in a timely and accurate manner.
• Oversees the submission of initial registration applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway.
• Interprets and summarizes registration, employment and credit details from FINRA system to assist in employment decisions.
• Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding continuing education are escalated accordingly.
• Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations.
• Operates standard office equipment and uses required software applications.
• Performs other duties and responsibilities as assigned.

Preferred Qualifications

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
• Appropriate series license(s) for assigned functional area preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.