Kingswood U.S. · 4 hours ago
Registrations Specialist
SD Metro Area
Full-time
Hybrid
Mid LevelKingswood U.S. is a diversified financial services firm providing wealth management and investment banking solutions. They are seeking an experienced Registration Specialist to manage the full lifecycle of registered representative onboarding and offboarding for their broker-dealer operations, ensuring compliance with regulatory requirements.
AdviceFinanceFinancial ServicesWealth Management
Responsibilities
Manage the full lifecycle of registered representative onboarding and offboarding for the broker-dealer
Prepare, submit, and maintain FINRA Form U4 and Form U5 filings, including amendments and terminations
Coordinate initial and ongoing FINRA, state, and jurisdictional registrations and licensing
Monitor and manage continuing registration requirements, including renewals, CE status, and registration eligibility
Handle ongoing licensing matters, including reporting and updating disclosures in a timely and accurate manner
Maintain accurate registration records and documentation in accordance with FINRA and firm requirements
Serve as a primary user of FINRA WebCRD, ensuring data integrity and regulatory compliance
Liaise with compliance, supervision, HR, and management regarding registration status and regulatory matters
Respond to regulatory inquiries related to registrations, licensing, and disclosures
Qualification
Required
Demonstrated experience as a Registration Specialist or in a similar role at a FINRA member broker-dealer
Hands-on experience processing Form U4 and Form U5 filings
Direct experience with onboarding and offboarding registered representatives
Strong working knowledge of FINRA WebCRD and related FINRA systems
Experience managing ongoing licensing and registration matters, including disclosure reporting
Thorough understanding of FINRA and state registration requirements for broker-dealers
High attention to detail and strong organizational skills
Ability to manage multiple registrations and deadlines in a fast-paced environment
Clear, professional written and verbal communication skills
Preferred
Experience supporting multi-state registrations and complex disclosure filings
Familiarity with CE tracking, fingerprinting, and background check coordination
Bachelor's degree in Business, Finance, Compliance, or a related field
Company
Kingswood U.S.
Kingswood U.S. empowers our clients to navigate the complexities of the financial landscape with confidence.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Michael Nessim
CEO and Managing Partner
Recent News
2025-12-15
2025-10-10
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