Job Summary
As part of the Compliance team, the Licensing & Registration Manager serves as the firm-wide subject matter expert for all securities, investment adviser, and insurance (preferred) licensing and registration activities across NewEdge Securities, LLC (NES), NewEdge Advisors, LLC (NEA), and NewEdge Wealth Management, LLC (NEW). The role owns the full registration lifecycle for registered representatives (RRs), investment adviser representatives (IARs), and dual registrants across FINRA, the SEC, and applicable state jurisdictions. The position requires the ability to operate independently with little to no guidance, and to work effectively in a fast-paced environment during peak periods such as annual renewals and advisor onboarding.
Responsibilites
- Register, terminate, and update registered persons and companies via Form U4, U5, and BR with FINRA for both broker-dealer and investment adviser through FINRA Gateway (WebCRD/IARD).
- Administer annual and interim Form ADV amendments (Parts 1A, 1B, 2A, and 2B) through IARD per Advisers Act Rule 204-1; assist in maintaining Form ADV Part 2B inventory for all IARs.
- Manage state securities and IAR registrations across all applicable jurisdictions; process state notice filings for SEC-registered advisers consistent with NASAA model rules.
- Track Series 7/63/65/66 exam requirements, professional designation waivers, and dual-registrant workflows for individuals registered as both RRs and IARs.
- Monitor and process the FINRA Gateway Disclosure Queue, Organization Queue, and Alerts; escalate reportable events to the CCO per FINRA Rules 1010 and 4530 timing requirements.
- Manage FINRA firm-level filings including Form BD amendments, Schedule A/B updates, and annual renewal statements; administer E-Bill payment processing.
- Issue branch numbers and maintain records of all registered and non-registered offices via Form BR; perform periodic roster reconciliation.
- Oversee Continuing Education (CE) compliance for all registered persons under FINRA Rule 1240; track Regulatory Element and Firm Element completion.
- Maintain Global Relay (or equivalent archiving platform) group/rep configurations; update hierarchy tree upon registration changes.
- Monitor FINRA Regulatory Notices, SEC releases, and NASAA bulletins for registration impacts; brief the CCO on material developments.
- Prepare management reports on registration status, renewal deadlines, CE completion, and disclosure events.
- Serve as primary contact for regulatory examinations and audits related to licensing and registration.
- Process insurance agency annual reports and renewals through NIPR/Sircon and individual states; track individual producer license renewals and appointments (preferred; not required)
Skills/ Abilities
- Expert-level proficiency in FINRA Gateway (WebCRD/IARD), including entitlement administration, form filing, disclosure queue management, and reporting.
- Demonstrated proficiency with IARD (Form ADV administration) and SEC investment adviser registration requirements.
- Working knowledge of FINRA Rules 1010, 1210, 1220, 1230, 1240, 3110, 3270, and 4530; Advisers Act Rules 204-1, 204-2, 204-3, and 206(4)-7; and NASAA IAR registration requirements.
- Ability to serve as the firm's subject matter expert and operate independently with little to no supervisory guidance.
- Ability to work effectively in a fast-paced environment, particularly during annual renewals, regulatory exams, and large onboarding events.
- Strong organizational skills with ability to manage competing regulatory deadlines across multiple affiliated entities.
- Strong verbal and written communication skills; ability to explain regulatory requirements to non-compliance stakeholders.
- Previous experience working with registered representatives and investment adviser representatives.
- High attention to detail and professionalism in handling confidential regulatory and personal information.
- Experience with NIPR/Sircon for insurance agency and producer licensing, preferred but not required.
Qualifications
- Bachelor's Degree in Business, Finance, Accounting, Legal Studies, or related field.
- MBA, JD, IACCP, or NSCP membership preferred.
- At least five years of experience in securities licensing and registration at a FINRA member broker-dealer and/or SEC-registered investment adviser.
- Experience at an independent BD or hybrid RIA platform strongly preferred.
- Prior supervisory experience required.
- SIE, Series 6 or 7, Series 24 are preferred. If candidate does not currently hold these licenses, must be willing to obtain.
Salary: $75,000 - $90,000, based on experience
Experience managing FINRA/SEC licensing and registration; proficient with FINRA Gateway, WebCRD/IARD, Form U4/U5/BD, and Form ADV; strong regulatory knowledge and supervisory experience.
Key Responsibilities
- registering entities
- administering amendments
- managing registrations
Skills & Tools
FINRA Gateway, WebCRD/IARD, IARD, Form U4, Form U5, Form ADV, NIPR/Sircon
Job Details
- Category: Finance and Accounting
- Seniority: Mid Level
- Commitment: Full Time
- Workplace: Remote — United States
- Salary: USD 75,000 – 90,000 / year
- Languages: English
About NewEdge Capital Group
Regulatory compliance professional serving as subject matter expert for licensing and registration across multiple firms. — Industry: Finance