Registration Specialist
Talentify.io
Title: Registration Specialist
Duration: 1 Month (possibility for extension to October 2024)
Location: 100% Remote (Candidate may be asked to go to Office once or twice during the assignment)
Job Description
- The candidate will be expected to assist with the filings of approximately 1200 Form U4 filings in order to update employment address for “Located at” and 'Supervised from” via Gateway.
- In addition, the filing of a number of Form BRs will be required during the assignment.
- Candidate should have an understanding of or be familiar with FINRA Rule 3110 and 3110.17 (expiration of Covid Relief) and 3110.19 FINRA Remote Supervisory Location and Pilot Branch Inspection Program, as these rules will referenced during the Form filing process.
Requirements
Requirements
- Minimum Degree Required: Completed High School (Diploma or GED)
- Minimum 3-5 years' experience in a Securities Registration Role.
- Candidate should also have experience with Microsoft Word and Excel, as report updates may be necessary during the project.
- Experience in filing Forms U4 and BR via FINRA Gateway and strong knowledge of branch office and branch location registration is a must.
- Familiarity with FINRA Rule 3110 (Branch Office Registration) is a plus.
- Experience with Filing, Securities, Excel & MS Word
Vacancy posted 4 days ago
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