
Securities Registrations Specialist (Remote - US) at Jobgether. This position is posted by Jobgether on behalf of a partner company. We are currently looking for a . Securities Registrations Specialist. in the . United States. .. In this fully remote role, you will manage the end-to-end registration process for individuals affiliated with U.S. broker-dealers, ensuring compliance with securities, commodities, municipal advisor, and investment advisor regulations. You will handle license applications, updates, and terminations while maintaining accurate registration databases and coordinating with regulatory bodies such as FINRA, NFA, and state authorities. Your work will support regulatory adherence across multiple business lines, enable smooth onboarding of new hires, and contribute to the integrity of compliance reporting. This position offers an opportunity to build expertise in financial regulations, data accuracy, and interdepartmental collaboration while working in a dynamic, highly regulated environment.. . Accountabilities:. 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.. Manage consent and disclosure checks for potential new hires.. Process Form U4, U5, and 8R filings, including updates for name changes, address changes, and disclosures.. Communicate with FINRA, NFA, and state regulators to resolve registration matters.. Maintain and reconcile registration databases, track regulatory continuing education, and generate reporting.. Research and correct licensing deficiencies, ensuring employees remain appropriately licensed.. . Bachelor’s degree or equivalent work experience.. 2–4 years of experience in banking or financial services, preferably in compliance or registration roles.. Familiarity with MS Office applications (Word, Excel, PowerPoint).. Knowledge of regulatory systems such as FINRA Gateway, Form ADV, MSRB/Edgar, and NFA ORS is a plus.. Strong interpersonal and communication skills with the ability to handle escalations professionally.. Problem-solving orientation, attention to detail, and commitment to regulatory compliance.. . Company Location: United States.