Kingswood U.S. · 5 hours ago
Registration Specialist
Miami, FL
Full-time
Onsite
New Grad, Entry LevelKingswood U.S. is a FINRA member broker-dealer and SEC-registered RIA, seeking a Registration Specialist to manage the onboarding and offboarding processes for representatives. This role involves ensuring compliance and maintaining accurate registration records while collaborating with the compliance and operations teams.
AdviceFinanceFinancial ServicesWealth Management
Responsibilities
Manage the full lifecycle of representative registration, including onboarding and offboarding processes
Proficiently utilize WebCRD to process and maintain representative records
Coordinate and respond to requests from regulatory bodies, collaborating closely with the Compliance department
Accurately prepare and update essential registration forms, including Form U4, Form U5, and ADV Part 2B Brochures
Assist with additional compliance and operational tasks as needed, demonstrating flexibility and a willingness to contribute to the team's success
Maintain meticulous records and ensure data integrity across all registration systems
Qualification
Required
Strong organizational skills and exceptional attention to detail
Proven ability to work independently and proactively as a self-starter
Comfort and proficiency in utilizing various systems and technology platforms
Excellent communication and interpersonal skills
Ability to manage multiple priorities and meet deadlines in a dynamic environment
Preferred
FINRA securities licenses (e.g., Series 7, Series 24, etc.)
Previous experience in a registration role within a broker-dealer or RIA
In-depth working knowledge of the FINRA WebCRD system
Benefits
Competitive compensation package
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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