Director - FINRA Securities Registration and Licensing

The Role at a Glance

The Director - FINRA Securities Registration and Licensing will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of their assigned area(s) of responsibility. They will serve as subject matter expert on licensing and securities being the single point of contact.

What you'll be doing

• Lead, develop, and mentor a team responsible for registration, licensing, and regulatory administration activities.
• Establish priorities, objectives, and performance expectations that align with organizational goals.
• Foster a culture of accountability, continuous improvement, collaboration, and service excellence.
• Support talent development through coaching, feedback, training, and career development opportunities.
• Allocate resources effectively to ensure timely and accurate execution of operational responsibilities.
• Direct all aspects of the broker-dealer's registration and licensing program, ensuring compliance with FINRA, SEC, state securities, and state insurance requirements.
• Oversee the administration of Form U4, Form U5, amendments, disclosures, registrations, and terminations.
• Manage branch office registrations, notice filings, and related regulatory requirements.
• Ensure the accuracy, completeness, and integrity of registration and licensing records maintained through FINRA systems and related platforms.
• Provide guidance on licensing, registration, disclosure, and regulatory requirements impacting registered representatives and business operations.
• Identify, assess, and mitigate regulatory and operational risks within the registration and licensing program.
• Develop, maintain, and enhance policies, procedures, and controls supporting regulatory compliance.
• Monitor regulatory developments and evaluate the impact of new or changing requirements on business practices and operational processes.
• Escalate significant risk, compliance, or regulatory concerns to senior leadership as appropriate.
• Prepare executive reporting, metrics, and analysis related to registration, licensing, regulatory examinations, and operational performance.
• Serve as a primary contact for FINRA, SEC, state regulators, internal audit, and compliance reviews involving registration and licensing activities.
• Lead regulatory examinations, audits, and inquiries by coordinating responses, producing documentation, and managing remediation activities.
• Partner with Compliance, Legal, Risk, and business leaders to ensure timely and accurate responses to regulatory requests.
• Track and resolve examination findings, audit observations, and corrective action plans.
• Partner with field leaders, sales leaders, recruiting teams, HR, and Compliance to support advisor onboarding, transitions, and offboarding activities.
• Advise stakeholders on disclosure matters, registration requirements, licensing strategies, and regulatory considerations.
• Support business initiatives by assessing registration and licensing impacts and recommending compliant solutions.
• Build and maintain effective relationships across the organization to promote transparency, efficiency, and regulatory compliance.
• Lead continuous improvement initiatives to enhance efficiency, scalability, controls, and user experience.
• Oversee registration-related technology platforms, vendor relationships, entitlement administration processes, and system enhancements.
• Monitor operational performance through key metrics, trend analysis, and reporting.
• Drive process improvements that reduce risk, improve service delivery, and support organizational growth.

What we’re looking for

Must-Haves

• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) in Business Information Technology (Minimum Required)
• 5 – 7+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)
• Strong understanding and experience in licensing and securities
• FINRA SIE and FINRA Series 6 or 7 required at time of hire
• FINRA Series 63 obtained within 120 days of start date