Registration Manager
Registration Manager
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$ 120000 - 150000
1 Vacancy
Job Description
Neuberger Bermans compliance team is seeking an experienced and detailoriented Registration Manager that will provide coverage to multiple investment advisers and a registered brokerdealer. The Registration Manager will oversee all aspects of registration and licensing for the firm ensuring compliance with regulatory requirements set forth by FINRA the SEC the NFA and state regulatory bodies. This position plays a critical role in maintaining the firms regulatory standing and supporting its growth objectives by managing the registration process for representatives advisers and the firm itself. This role will oversee Licensing and Registration Management Regulatory Compliance Training and Support and Recordkeeping Reporting and Coordination.
Key Responsibilities:
Oversee and manage the registration and licensing process for registered representatives and investment adviser representatives with FINRA SEC NFA and state regulatory agencies
Maintain and update the registration of brokerdealer and investment adviser branch offices ensuring compliance with FINRA SEC NFA state and foreign regulatory requirements
Coordinate the preparation submission and tracking of Form U4 U5 and other required filings in the CRD/IARD systems
Ensure timely renewal of individual and firm registrations licenses and filings to avoid lapses or disruptions
Monitor and interpret applicable regulatory updates and changes from FINRA SEC NFA and state regulators to ensure the firm remains compliant
Maintain uptodate knowledge of applicable rules including FINRAs brokerdealer registration requirements and SEC/NFA/State RIA registration requirements
Assist with electronic communications review and other compliance obligations
Provide guidance to representatives and staff regarding licensing requirements and qualifications
Assist new hires with the registration process and advise on necessary exams such as Series 7 Series 63 Series 65 Series 66 Series 3 and Series 31
Maintain accurate and uptodate registration records in internal systems and ensure compliance with recordkeeping requirements
Generate and analyze reports related to registration status CE (Continuing Education) completion and other regulatory obligations
Act as the primary liaison with FINRA SEC and state regulators regarding registration matters
Qualifications:
Bachelors degree in related business field
At least 5 years experience in registration licensing or compliance within a brokerdealer or investment adviser environment
Proven expertise in utilizing FINRAs CRD and IARD systems
Strong understanding of FINRA SEC and state registration and licensing requirements.
Exceptional attention to detail and organizational skills
Ability to manage multiple deadlines and prioritize work effectively
Strong communication skills to interact with regulators internal teams and registered representatives
Proficiency in using regulatory platforms (CRD/IARD FINRA Portal) and Microsoft Office Suite
Demonstrated ability to adapt to regulatory changes and implement appropriate policy updates
Familiarity with continuing education (CE) requirements and processes for registered representatives and investment advisers
Experience supporting audits and regulatory examinations related to registration and licensing
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Compensation Details
The salary range for this role is $120000$150000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but limited to relevant education qualifications certifications experience skills seniority geographic location business sector performance shift travel requirements sales or revenuebased metrics market benchmarking data any collective bargaining agreements and business or organizational needs. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance 401(k) life insurance and other benefits to eligible employees.Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.
Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .
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Required Experience:
Manager
Employment Type
Full-Time
