Role Overview
We are seeking a Registration & Compliance Specialist to support advisor licensing, registration, and regulatory processing activities within a large financial services organization.
This role is ideal for someone who enjoys detail-oriented work, follows established procedures carefully, and can manage multiple requests while providing excellent customer service. You will work with advisors and internal teams to ensure registration and licensing information is processed accurately and efficiently.
What You’ll Be Doing

+ Process state registrations and licensing-related requests

+ Submit FINRA exam requests and registration updates

+ Handle advisor information changes, including name and contact updates

+ Review submitted information for completeness and accuracy

+ Follow up with advisors for missing documentation or clarification

+ Escalate complex issues when appropriate

+ Maintain accurate records a...