**Essential Duties and Responsibilities** + Prepares and submits required records for registering/associating candidates in accordance with Firm policies, industry standards, and federal and state securities laws. + Establishes and maintains registration-related record keeping systems. + Ensures initial registrations/affiliations are processed in a timely and accurate manner. + Oversees the submission of initial registration/affiliation applications, examinations and other requests via Registrations Hub to the Financial Industry Regulatory Authority (FINRA) Gateway. + Interprets and summarizes registration/association details from FINRA Gateway system to assist internal stakeholders as requested. + Ensures that all FINRA, state/jurisdiction and other SRO requirements concerning customer complaints, disclosures, terminations and outstanding FINRA or IAR continuing education (CE) are escalated accordingly + Maintains currency in FINRA, state/jurisdiction and other SRO rules and regulations regarding securities and advisory registrations. + Operates standard office equipment and uses required software applications. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + Concepts, principles, and practices of individual securities and advisory registrations and examination requirements. + Rules and regulations of the SEC, FINRA, and states/jurisdictions + Investment concepts, practices and procedures used in the securities industry. + Principles of securities industry operations. + Financial markets and products. **Skill in:** + Preparing complex forms and processing and tracking large volumes of documents. + Responding to and resolving inquiries resulting from initial registration requests. + Creating and retaining candidate registration/affiliation records electronically. + Entering candidate data into Firm and/or FINRA systems accurately and efficiently to meet deadlines. + Handling multiple telephone lines, inboxes and work queues. + Educating internal stakeholders regarding registration requirements and processes. + Operating standard office equipment and using required software applications. **Ability to:** + Attend to detail while maintaining a big picture orientation. + Read, interpret, analyze, and apply information from Firm policies and procedures, and regulatory agencies. + Influence, motivate and persuade others to achieve desired outcomes without organizational authority. + Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions. + Communicate effectively, both orally and in writing. + Work independently as well as collaboratively within a team environment. + Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner. + Maintain confidentiality of candidates’ personal and registration-related data. + Establish and maintain effective working relationships at all levels of the organization. + Increase knowledge of SEC, FINRA, states/jurisdictions and other SRO regulations regarding individual registration requirements. **Educational/Previous Experience Requirements** + High School diploma or equivalent and a minimum of four (4) years of relevant work experience. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + None Required. + Appropriate FINRA series licensure for assigned functional area preferred. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.