Registration & Licensing Specialist
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BizTek People, Inc. | APA International Placement Consultants
New York, NY, US
Summary
The specialist will manage broker-dealer registration and licensing activities, including FINRA filings and state registrations. They will also coordinate dual registrations and maintain accurate regulatory records while collaborating with internal teams.
Job Description
Registration & Licensing Specialist at an Investment Bank at NYC | Remote | Temporary
Schedule: Full-time, 5 days per week
Assignment: Temporary, anticipated through January 2027
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.
Key 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
Qualifications
- 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
#BrokerDealer #FINRA #FINRACRD #FormU4 #FormU5 #SecuritiesLicensing #StateRegistration #DualRegistration #RSLReporting #RegulatoryCompliance
BizTek People is a premier woman and minority owned high-end technology staffing firm headquartered in downtown Portland, Oregon. With a personal commitment to excellence from each one of us, we're here to ensure that our clients receive the most competent solutions for all their business and technology needs. We operate in the following verticals:
- Project Management Practice
- Technology Consulting Practice
- Big Data Practice
- Product Development Practice
BizTek is known for our holistic principles, integrating business, technology, and people. We support local charities such as the Juvenile Diabetes Research Foundation (JDRF) and Oregon Repertory Singers (ORS). BizTek has been on the Portland Business Journal's "Fastest Growing Companies" list for 3 years in a row! If you are looking to grow with us, please send your resume and inquiry to [email protected].
Founded
2010
Company size
201-500 employees
Industry
Staffing and Recruiting
Org type
Privately Held
Headquarters
Portland, Oregon
BizTek People is a premier woman and minority owned high-end technology staffing firm headquartered in downtown Portland, Oregon. With a personal commitment to excellence from each one of us, we're here to ensure that our clients receive the most competent solutions for all their business and technology needs. We operate in the following verticals:
- Project Management Practice
- Technology Consulting Practice
- Big Data Practice
- Product Development Practice
BizTek is known for our holistic principles, integrating business, technology, and people. We support local charities such as the Juvenile Diabetes Research Foundation (JDRF) and Oregon Repertory Singers (ORS). BizTek has been on the Portland Business Journal's "Fastest Growing Companies" list for 3 years in a row! If you are looking to grow with us, please send your resume and inquiry to [email protected].
Founded
2010
Company size
201-500 employees
Industry
Staffing and Recruiting
Org type
Privately Held
Headquarters
Portland, Oregon
