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Registration Specialist

Remote: 
Full Remote
Experience: 
Mid-level (2-5 years)
Work from: 
United States

Offer summary

Qualifications:

High School diploma or GED, 3-5 years in Securities Registration.

Key responsabilities:

  • Assist with Form U4 and BR filings
  • Update employment address information
BizTek People, Inc. logo
BizTek People, Inc. Human Resources, Staffing & Recruiting SME https://www.biztekpeople.com
201 - 500 Employees
About BizTek People, Inc.
BizTek People is a premier woman and minority owned high-end technology staffing firm headquartered in downtown Portland, Oregon. With a personal commitment to excellence from each one of us, we're here to ensure that our clients receive the most competent solutions for all their business and technology needs. We operate in the following verticals: - Project Management Practice - Technology Consulting Practice - Big Data Practice - Product Development Practice BizTek is known for our holistic principles, integrating business, technology, and people. We support local charities such as the Juvenile Diabetes Research Foundation (JDRF) and Oregon Repertory Singers (ORS). BizTek has been on the Portland Business Journal's "Fastest Growing Companies"​ list for 3 years in a row! If you are looking to grow with us, please send your resume and inquiry to info@biztekpeople.com.
See more BizTek People, Inc. offers

Job description

Title: Registration Specialist

Duration: 1 Month (possibility for extension to October 2024)

Location: 100% Remote (Candidate may be asked to go to Office once or twice during the assignment)

 

Job Description

  • The candidate will be expected to assist with the filings of approximately 1200 Form U4 filings in order to update employment address for “Located at” and 'Supervised from” via Gateway.
  • In addition,  the filing of a number of Form BRs will be required during the assignment.
  • Candidate should have an understanding of or be familiar with FINRA Rule 3110 and 3110.17 (expiration of Covid Relief) and 3110.19 FINRA Remote Supervisory Location and Pilot Branch Inspection Program, as these rules will referenced during the Form filing process.


Requirements

Requirements

  • Minimum Degree Required: Completed High School (Diploma or GED)
  • Minimum 3-5 years' experience in a Securities Registration Role.
  • Candidate should also have experience with Microsoft Word and Excel, as report updates may be necessary during the project.
  • Experience in filing Forms U4 and BR  via FINRA Gateway and strong knowledge of branch office and branch location registration is a must.
  • Familiarity with FINRA Rule 3110 (Branch Office Registration) is a plus.
  • Experience with Filing, Securities, Excel & MS Word


Required profile

Experience

Level of experience: Mid-level (2-5 years)
Industry :
Human Resources, Staffing & Recruiting
Spoken language(s):
English
Check out the description to know which languages are mandatory.

Hard Skills

Financial RegulationsRegistration AuthorityForm 5500

Other Skills

  • Microsoft Excel
  • Microsoft Word
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