Licensing & Registration Specialist (Contract) – Los Angeles Ready to advance your career in financial services compliance? We are seeking a Licensing & Registration Assistant to join a collaborative compliance team in Los Angeles. In this vital role, you will champion securities registration workflows, protect regulatory integrity, and partner with experienced leaders. Applying through our recruitment team connects you with a dedicated career advocate offering personal guidance, interview support, and transparent communication throughout the process.
How You Will Make an Impact
- Drive Regulatory Filings: Prepare and submit securities registrations, licensing applications, amendments, and renewals with precision.
- Monitor Milestones: Track FINRA continuing education timelines and regulatory deadlines to ensure prompt compliance.
- Guide Onboarding Verifications: Coordinate pre-employment background checks and documentation for registered representatives and adviser representatives.
- Uphold Quality Standards: Conduct quality control reviews within Web CRD and FINRA Gateway, resolving discrepancies swiftly.
- Streamline Operations: Maintain accurate regulatory records, assist with system improvements, and answer team inquiries.
What You Bring to the Team
- Experience: 2+ years in licensing and registration, compliance administration, or regulated operations.
- Regulatory Acumen: Familiarity with FINRA, SEC, Web CRD, or FINRA Gateway is advantageous; quick learners are welcome.
- Technical Agility: Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook).
- Core Strengths: Discretion with confidential records, sound judgment, and constructive communication across teams.
- Education: Associate or bachelor’s degree preferred, or equivalent experience.
Take the Next Step Bring your meticulous eye for detail to a supportive, structured environment where your contributions directly protect operational integrity. Apply now to partner with a dedicated recruitment advocate who will guide your submission, coordinate interviews, and help you land this premier Los Angeles compliance opportunity.
salary: $32 - $35.86 per hour shift: First work hours: 8 AM - 5 PM education: Bachelors
Responsibilities
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Skills
- Licensing Registration
- FINRA
- SEC
- Web CRD
- FINRA Gateway
- MS Office
- Financial Administrative Asst.
- Licensing
- Administrative Duties
Qualifications
- Years of experience: 2 years
- Experience level: Experienced
Randstad is a world leader in matching great people with great companies. Our experienced agents will listen carefully to your employment needs and then work diligently to match your skills and qualifications to the right job and company. Whether you're looking for temporary, temporary-to-permanent or permanent opportunities, no one works harder for you than Randstad.
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.
At Randstad, we welcome people of all abilities and want to ensure that our hiring and interview process meets the needs of all applicants. If you require a reasonable accommodation to make your application or interview experience a great one, please contact HRsupport@randstadusa.com.
Pay offered to a successful candidate will be based on several factors including the candidate's education, work experience, work location, specific job duties, certifications, etc. In addition, Randstad offers a comprehensive benefits package, including: medical, prescription, dental, vision, AD&D, and life insurance offerings, short-term disability, and a 401K plan (all benefits are based on eligibility).
This posting is open for thirty (30) days.
Qualified applicants in San Francisco with criminal histories will be considered for employment in accordance with the San Francisco Fair Chance Ordinance.
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
We will consider for employment all qualified Applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.