Administrative Assistant II / Licensing & Registration Coordinator

Job Description

Job Description

Job Summary :

We are seeking a detail-oriented Licensing & Registration Coordinator to support our Compliance team in managing licensing, registration, and regulatory processes. This role is responsible for maintaining accurate records, monitoring deadlines, reviewing documentation, and ensuring compliance with applicable regulatory requirements and internal policies.

Key Responsibilities

• Process and maintain licensing, registration, renewal, amendment, and termination records.
• Track regulatory, registration, and continuing education deadlines.
• Prepare, review, and maintain regulatory filings and supporting documentation.
• Conduct quality reviews to identify discrepancies and ensure data accuracy.
• Maintain compliance records, reports, and licensing status updates.
• Respond to inquiries related to licensing and registration activities.
• Support compliance reporting, testing, and process improvement initiatives.
• Handle confidential employee and regulatory information with discretion.

Qualifications

• 1–3 years of experience in compliance, licensing & registration, financial services, HR administration, operations, or another regulated environment.
• Experience managing documentation, records, regulatory filings, or administrative processes.
• Strong organizational skills with the ability to manage multiple priorities and deadlines.
• Excellent attention to detail and problem-solving abilities.
• Strong written and verbal communication skills.
• Proficiency in Microsoft Office (Excel, Outlook, Word, and PowerPoint).
• Ability to handle sensitive and confidential information professionally.
• Experience with FINRA, SEC, Web CRD, FINRA Gateway, or similar regulatory platforms is a plus.
• Associate’s or Bachelor’s degree preferred.