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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