Registration Specialist jobs in United States
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KPG99 INC · 16 hours ago

Registration Specialist

positionNew York, NY
timeContract
remoteHybrid
seniorityNew Grad, Entry Level

KPG99 INC is looking for a Finra Registrations Analyst to assist with FINRA registrations. The role requires relevant experience in financial services operations, compliance, or regulatory support, particularly with broker-dealer onboarding and licensing.

ConsultingSalesStaffing Agency

Responsibilities

Experience working with FINRA registrations (Series licenses, broker/dealer registrations, U4/U5 forms, CRD system)
Background in financial services operations, compliance, or regulatory support
Some exposure to broker-dealer onboarding, licensing, or regulatory filings

Qualification

FINRA registrations experienceSeries licensesBroker/dealer registrationsU4/U5 formsCRD systemFinancial services operationsComplianceRegulatory supportBroker-dealer onboardingRegulatory filings

Required

FINRA registrations experience a must
Some relevant experience in FINRA registrations
Experience working with FINRA registrations (Series licenses, broker/dealer registrations, U4/U5 forms, CRD system)
Background in financial services operations, compliance, or regulatory support
Some exposure to broker-dealer onboarding, licensing, or regulatory filings

Company

KPG99 INC

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Our business consulting services are led by significant domain depth built on a robust technology-driven services platform.
dateFounded in 2013
location
Hampton, New Jersey, USA
people-size51-200 employees
web-link
https://www.kpg99.com/

Funding

Current Stage
Growth Stage
Company data provided by crunchbase