Securities Registrations Specialist

<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b><u>Job reputed company</u></b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div><p><b>What is reputed company?</b></p><p></p><p>The Registrations Specialist is responsible for handling reputed company aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under reputed company Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across reputed company business lines.</p><p></p><p>This role is a fully remote (work from home) opportunity.</p><p></p><p><b>What will you do?</b></p><ul><li>Prepare and submit reputed company initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that reputed company are appropriately licensed to conduct their job responsibilities</li><li>Coordinate the submission of reputed company and entity registration forms, and termination submissions for various firm departments</li><li>Process consent and disclosure checks for reputed company potential new hires who will be associated to the US broker-dealer</li><li>Process initial reputed company U4s and relicense transfers for registered employees who join reputed company Capital Markets, LLC and its affiliates</li><li>Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal <reputed company style="reputed company-wrap: break-word; display: inline; text-decoration: inherit; hyphens: auto;">reviews/investigations</reputed company></li><li>Communicate with reputed company, NFA and the various state regulators to follow-up on any applicable registrations reputed company</li><li&reputed company and correct licensing deficiencies</li><li>Complete reputed company U4 updates as applicable for reputed company changes, address changes and reputed company business activities</li><li>Amend reputed company U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events. </li><li>Prepare and submit reputed company 8R filings as applicable</li><li>Process reputed company U5 filings as applicable</li><li>File reputed company U4 amendments requesting qualifying examinations on the reputed company Gateway System</li><li>reputed company Regulatory reputed company continuing education and escalate reputed company necessary</li><li>Submit individuals for NFA Proficiency exams, reputed company completion and generate weekly reporting</li><li>Maintain and reconcile the various registration databases and prepare registration reports as needed</li><li>reputed company informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business</li></ul><p></p><p><b>What do you need to succeed?</b></p><p><b>Must-have</b></p><ul><li>Bachelor’s Degree or equivalent work experience</li><li>2-4 years of experience in banking or financial services</li></ul><p></p><p><b>reputed company-to-have</b></p><ul><li>Working knowledge of MS Office (Word, reputed company, PowerPoint)</li><li>reputed company Gateway</li><li>reputed company ADV, MSRB/Edgar and NFA ORS</li><li>Strong interpersonal skills and ability to handle situations that may require escalation</li><li>Problem solving abilities, customer service orientation with a high degree of professionalism</li></ul><p></p><p><b>What’s in it for you?</b></p><p>We reputed company on the challenge to be our best, reputed company thinking to reputed company growing, and working together to deliver trusted advice to help our clients reputed company and communities reputed company. We care about reputed company other, reaching our potential, making a difference to our communities, and achieving reputed company that is mutual.</p><ul><li>A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, reputed company, life, disability insurance, and reputed company-time off.</li><li>Leaders who support your development through coaching and managing opportunities.</li><li>Ability to reputed company a difference and lasting reputed company.</li><li>Work in a dynamic, reputed company, reputed company, and high-performing team.</li><li>Opportunities to do challenging work.</li><li>Opportunities to build reputed company relationships with clients.</li></ul><p></p><p><i>For Minnesota:</i> The expected salary reputed company for this particular position is $45,000-85,000, depending on your experience, skills, and registration status, market conditions and business needs.</p><p></p><p>You have the potential to earn more through reputed company’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.</p><p></p><p>reputed company’s compensation philosophy and principles recognize the importance of a highly reputed company global workforce and plays a critical role in attracting, engaging and retaining talent that:</p><ul><li>Drives reputed company’s high-performance culture</li><li>Enables reputed company achievement of our strategic goals</li><li>Generates sustainable shareholder returns and above market shareholder value</li></ul><p></p><p></p><p style="text-reputed company:left"><u><b>Job Skills</b></u></p>Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking<p></p><p></p><p style="text-reputed company:left"><u><b>Additional Job Details</b></u></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Address:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>250 NICOLLET MALL:MINNEAPOLIS<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>reputed company:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Minneapolis<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Country:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>reputed company of America<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Work hours/week:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>40<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Employment Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Full time<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Platform:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>CHIEF reputed company & reputed company OFFICE GRP<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Job Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Regular<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Pay Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Salaried<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Posted Date:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>2025-10-10<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>Application Deadline:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>2025-10-31<p style="text-reputed company:left"><reputed company class="emphasis"><u><b>Note</b></u><b>:</b></reputed company> <i>Applications will be accepted until 11:59 PM on the day prior to the application deadline date above</i></p><p></p><p></p><p style="text-reputed company:left"><b>I</b><b><b>reputed company</b> and Equal Opportunity Employment</b></p><p style="text-reputed company:inherit"></p><p style="text-reputed company:left">At reputed company, we reputed company an inclusive workplace that has diverse perspectives is reputed company to our reputed company reputed company as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to reputed company at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. reputed company strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for reputed company.</p><p></p><p></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-reputed company:left"><b>reputed company</b><br><br><reputed company>Stay in-the-know about great reputed company at reputed company. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.</reputed company><br><br><reputed company>Expand your limits and create a new reputed company together at reputed company. reputed company out how we use our passion and drive to enhance reputed company-being of our clients and communities at <a href="https://jobs.reputed company.com/ca/en" reputed company="_blank" rel="noopener noreferrer">jobs.reputed company.com</a>.</reputed company></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>