Offboarding Sr. Registrations Associate

Job Description Summary

Under direct supervision, uses specialized skills and knowledge gained through experience and training to administer the registration/association termination process for registered and non-registered fingerprint associates with FINRA. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve problems and issues. Maintains regular contact with internal stakeholders and branch owners/supervisory managers to obtain, clarify or provide facts and information and resolve termination-related issues.

Job Description

Essential Duties and Responsibilities

• Prepares and submits required documents for terminating the registration/association of registered and non-registered fingerprint associates in accordance with Firm procedures, industry standards and federal and state securities laws. 

• Responds to escalated internal inquiries and resolves registration/association termination-related issues with various regulatory agencies.

• Maintains and retains termination-related documentation in Firm systems.

• Oversees the submission of registration/association termination applications and other requests to the Financial Industry Regulatory Authority (FINRA) Gateway system. 

• Ensures that all FINRA, state and jurisdiction regulatory requirements concerning the termination of registration(s)/association(s) are met within required time frames.

• Maintains currency in FINRA, SEC, state and jurisdiction rules and regulations regarding registration and fingerprint association.

• 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 registration/association termination. 

• Rules and regulations of FINRA, SEC, state and jurisdiction regulatory agencies.

• Investment concepts, practices and procedures used in the financial services industry.

• Principles of financial services industry operations.

• Financial markets and products. 

Skill in:

• Preparing regulatory forms and processing and tracking large volumes of documents. 

• Responding to and resolving inquiries and issues regarding registration/association termination-related issues.

• Maintaining termination-related documents and archiving records in Firm systems.

• Entering large volumes of data into electronic systems accurately and efficiently to meet regulatory deadlines.

• Handling multiple telephone lines.

• Explaining complex registration/association termination-related issues to others.

• 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 various regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply Firm procedures and identify and recommend changes as appropriate.

• Work under pressure to manage multiple tasks with changing priorities to meet regulatory 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 provide a high level of customer service in a calm and professional manner.

• Maintain confidentiality.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of FINRA, SEC, state and jurisdiction rules and regulations regarding registration/association terminations.

Educational/Previous Experience Requirements

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Appropriate qualification exam(s) for assigned functional area preferred.