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Licensing & Registration Coordinator

United States, Chicago 25.00 - 32.00 USD / Hour · Job Posted March 02, 2026
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Job Description

We are looking for a detail-oriented Licensing & Registration Coordinator to join our team on a contract basis in Chicago, Illinois. In this role, you will play a vital part in ensuring regulatory compliance and maintaining accurate licensing and registration records for the firm and its representatives. This position offers an opportunity to contribute to the financial services industry while working closely with compliance processes and regulatory requirements.

Job Responsibility

  • Maintain precise and comprehensive registration records for the firm and its registered representatives
  • Assist with onboarding processes, including validating Form U4 filings
  • Prepare and submit Form U4 and U5 filings promptly and under supervision
  • Monitor and coordinate licensing exams, including scheduling and providing study materials
  • Ensure compliance with continuing education and mandatory training requirements by sending reminders and escalating overdue items
  • Support the preparation of compliance reports for senior management
  • Track regulatory obligations related to residential and remote work locations
  • Collect and review employee attestations to ensure adherence to regulatory standards

Requirements

  • Bachelor’s degree is preferred
  • 1–3 years of experience in compliance, operations, or financial services
  • broker-dealer experience is a plus
  • Familiarity with Gateway/WebCRD systems is advantageous
  • Proficiency in Microsoft Office applications, including Word, Excel, and PowerPoint
  • Basic understanding of FINRA and state registration requirements is preferred
  • Strong attention to detail and organizational skills
  • Ability to manage multiple tasks and meet deadlines effectively

Nice to have

  • broker-dealer experience
  • Familiarity with Gateway/WebCRD systems

What we offer

  • medical
  • vision
  • dental
  • life and disability insurance
  • 401(k) plan

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