The Manager, Registrations leads a team responsible for the licensing, appointment, and registration of financial professionals and firms. This role ensures compliance with state Departments of Insurance (DOI), FINRA, SEC, and state securities and investment advisory regulations. Key responsibilities include overseeing registration processes, maintaining accurate records, ensuring regulatory compliance, and providing guidance on registration and licensing requirements.
Responsibilities:
- Manage and mentor a team of registration specialists, fostering a collaborative and high-performing environment.
- Oversee the appointment process for LPLE and LPLF, registration processes for new and existing financial advisors, representatives, and firms with FINRA, SEC, and state regulatory bodies.
- Ensure timely and accurate submission of all required appointment requests, registration forms (e.g., U4, U5, BD, BR) and supporting documentation.
- Develop and implement efficient workflows and procedures for registration activities, identifying areas for process improvement and automation.
- Stay current with evolving FINRA, SEC, and state regulations related to licensing and registration, and translate these changes into actionable internal policies and procedures.
- Collaborate with legal, compliance, and other internal departments to address complex registration issues and provide expert guidance.
- Conduct regular audits of registration records to ensure accuracy, completeness, and compliance.
- Prepare and present reports on registration status, trends, and compliance metrics to senior management.
- Assist in the development and delivery of training programs for advisors and internal staff on registration requirements and best practices.
- Respond to inquiries from regulatory bodies, internal stakeholders, and financial professionals regarding registration matters.
What are we looking for?
We're looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates
pursue greatness,
act with integrity, and are
driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we
win together and
create and share joy in our work.
Requirements:
- Knowledge of FINRA, SEC, and state securities regulations related to broker-dealer and investment adviser registration.
- Leadership and team management skills with a proven ability to motivate and develop staff.
- Analytical, problem-solving, and decision-making abilities.
- Written and verbal communication skills, with the ability to articulate complex regulatory information clearly.
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) and experience with registration platforms (e.g., FINRA CRD/IARD).
- Ability to work effectively in a fast-paced, highly regulated environment.
Preferred:
- Bachelor's degree in business administration, Finance, or a related field.
- 5+ years of experience in financial services, with at least 2 years in a leadership or supervisory role within registrations, licensing, or compliance.
- FINRA Series 7 and Series 24
Pay Range: $81,267.00 - $135,445.00
Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer!
