Sr. Associate, Registrations
Raymond James & Associates, Inc., Research Division(1 month ago)
About this role
A Registration Specialist at Raymond James supports the firm's candidate registration and affiliation processes within the securities and advisory business. The role operates under direct supervision and works with internal stakeholders and candidates to facilitate regulatory registrations and escalations. It contributes to maintaining compliance with FINRA, SEC, and state requirements while handling registration-related records and communications.
Required Skills
- Registration Processing
- FINRA Gateway
- Regulatory Knowledge
- Recordkeeping
- Data Entry
- Customer Service
Qualifications
- High School Diploma or Equivalent
- FINRA Series (Preferred)
About Raymond James & Associates, Inc., Research Division
rjcapitalmarkets.comN/A
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