Registration & Licensing Specialist

BizTek People, Inc. | APA International Placement Consultants • New York, NY

4d • Remote

About The Position

We’re seeking an experienced Registration & Licensing Specialist for a temporary, full-time remote assignment. This role supports broker-dealer registration and licensing activities, including FINRA and state registrations, regulatory filings, dual registrations, and Residential Supervisory Location (RSL) administration.

Requirements

• 3–5+ years of broker-dealer registration and licensing experience
• Bachelor’s degree preferred
• Working knowledge of FINRA CRD, Form U4/U5, and state registration requirements
• Experience with dual registrations and branch/RSL reporting
• Strong attention to detail and ability to manage multiple regulatory deadlines

Responsibilities

• Process new-hire and transfer registrations
• Maintain Form U4 and U5 filings
• Coordinate state and dual-registration requirements
• Track licensing and examination requirements
• Support ongoing registration maintenance and RSL reporting
• Maintain accurate regulatory records
• Partner with Compliance, HR, Legal, and business teams to meet regulatory deadlines

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level