Manager, Licensing & Registration
The role of the Kestra Financial Licensing and Registration Manager is to provide leadership, mentoring and guidance to a team of Registration Analysts within the compliance department. The manager is also responsible for ensuring the day-to-day operations of the registrations department run smoothly. This position requires knowledge of securities industry licensing regulations and the internal procedures necessary to comply with those requirements. An ability to troubleshoot issues, strong communication skills, and an understanding of systems and process are critical to the success of a manager in this role.
To perform this job successfully, individual must be able to perform each essential duty satisfactorily.
- Applying, developing and implementing Registration Department procedures, practices and controls related to licensing and registration and other areas of responsibility,
- Filing, maintaining and updating required registration forms; Forms U4, U5, and 4530 as applicable,
- Filing, maintaining and updating broker-dealer branch office registration Form BR,
- Filing, maintaining and updating Form BD, and completing other firm regulatory filings as required,
- Responding to or providing guidance on FINRA, state and other inquiries related to licensing, registration and disclosure matters.
- Providing interpretative guidance on registration and disclosure related rules, regulations and issues,
- Provide firm oversight of the Regulatory Element CE Requirement
- Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork
- Other duties as assigned
- Excellent knowledge of FINRA Web CRD, FINRA Contact, and other financial industry registration systems,
- Ability to cultivate strong working relationships with state and federal regulators,
- Strong knowledge of licensing and registration rules, interpretative guidance and regulatory expectations on the state and federal level for both RIAs and BDs,
- Proven ability to practically apply knowledge to develop firm policies, procedures, practices and systems,
- Strong interpersonal and communication skills with proven ability to interact with all levels of firm management,
- Excellent oral and written communication skills,
- Strong organizational, planning and time management skills with proven ability to meet critical, regulator-imposed deadlines,
- Proven ability to multi-task.
- Provide guidance to Registration coordinators,
- Identify inefficient processes and implement corrective changes,
- Creation of accurate and timely management reports.
- Minimum 3 or more year’s compliance experience in the brokerage or financial services industry with direct registrations experience preferred.
- Bachelor's degree or equivalent experience.
- Series 7 required
- Series 24 required
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.