Registration Specialist

Registration Specialist – New York City (Hybrid) – Investment Management

Talento has partnered with a privately held, employee-owned asset management firm in search of a Registration Specialist to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees with licensing and registration matters, including working with various regulators, managing applications, updating licenses, overseeing terminations, state registrations, and related regulatory reporting.

• Review and complete pre-hire Workday requests for potential new hires
• Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute new hire documents (compliance manual, brokerage account disclosure policy, code of ethics affirmation), review background checks and advise on necessary exams
• Ensure timely processing of FINRA Gateway filings for Form U4s/ U5s, Form  /BD, and NFA Form 8R/8T filings and any other required amendments
• Maintain accurate and up-to-date registration records in internal systems and ensure compliance with recordkeeping requirements
• Manage FINRA Gateway queues, reports, and information requests
• Provide reporting to business management, supervision and compliance teams to ensure regulatory requirements are met
• Research and respond to regulatory inquiries related to disciplinary histories, terminations for cause, etc.
• Coordinate study materials, and regulatory exam preparation for employees;
  Monitor and review email communications as part of compliance controls
• Review and update registration policies and procedures annually and/or as required

Compensation: $95K – $125K Base, $10K-$20K bonus package

• Bachelor’s degree in a related business field
• 3-5 years’ experience in registration, licensing, or compliance within a broker-dealer or investment adviser
• Proactive, self-motivated, and highly organized
• Strong interpersonal, oral, and written communication skills
• Understanding of FINRA, SEC, and state registration/licensing requirements
• Excellent computer skills (Excel, Microsoft Office Suite, Workday)
• Skilled at managing multiple deadlines and prioritizing tasks
• Proficient in regulatory platforms (FINRA Gateway CRD/IARD, NFA ORS)
• Demonstrated ability to adapt to regulatory changes and update policies accordingly
• Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
• Experience supporting audits and regulatory examinations related to registration and licensing

Talento Human Capital is a high-growth talent and organizational solutions firm. Founded in 2017, Talento has supported 65+ enterprises, middle-market, and startup organizations across 15 countries. We believe people are the most important asset on the balance sheet.

People + Passion + Perseverance = Progress

Talento Human Capital is an equal opportunity employer.