Offboarding Sr. Registrations Associate

Job Description Summary

Under direct supervision, uses specialized skills and knowledge gained through experience and training to administer the registration/association termination process for registered and non-registered fingerprint associates with FINRA. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve problems and issues. Maintains regular contact with internal stakeholders and branch owners/supervisory managers to obtain, clarify or provide facts and information and resolve termination-related issues.

Job Description

Essential Duties and Responsibilities

• Prepares and submits required documents for terminating the registration/association of registered and non-registered fingerprint associates in accordance with Firm procedures, industry standards and federal and state securities laws. 

• Responds to escalated internal inquiries and resolves registration/association termination-related issues with various regulatory agencies.

• Maintains and retains termination-related documentation in Firm systems.

• Oversees the submission of registration/association termination applications and other requests to the Financial Industry Regulatory Authority (FINRA) Gateway system. 

• Ensures that all FINRA, state and jurisdiction regulatory requirements concerning the termination of registration(s)/association(s) are met within required time frames.

• Maintains currency in FINRA, SEC, state and jurisdiction rules and regulations regarding registration and fingerprint association.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, principles, and practices of registration/association termination. 

• Rules and regulations of FINRA, SEC, state and jurisdiction regulatory agencies.

• Investment concepts, practices and procedures used in the financial services industry.

• Principles of financial services industry operations.

• Financial markets and products. 

Skill in:

• Preparing regulatory forms and processing and tracking large volumes of documents. 

• Responding to and resolving inquiries and issues regarding registration/association termination-related issues.

• Maintaining termination-related documents and archiving records in Firm systems.

• Entering large volumes of data into electronic systems accurately and efficiently to meet regulatory deadlines.

• Handling multiple telephone lines.

• Explaining complex registration/association termination-related issues to others.

• Operating standard office equipment and using required software applications.

Ability to:

• Attention to detail while maintaining a big picture orientation.

• Read, interpret, analyze, and apply information from various regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply Firm procedures and identify and recommend changes as appropriate.

• Work under pressure to manage multiple tasks with changing priorities to meet regulatory deadlines in a fast-paced environment with frequent interruptions.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Maintain confidentiality.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of FINRA, SEC, state and jurisdiction rules and regulations regarding registration/association terminations.

Educational/Previous Experience Requirements

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Appropriate qualification exam(s) for assigned functional area preferred.

• Additional licensure/certification demonstrating the candidate’s knowledge/expertise in industry regulations and concepts preferred.

Education

Work Experience

Certifications

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 
We expect our associates at all levels to:
•  Grow professionally and inspire others to do the same
•  Work with and through others to achieve desired outcomes
•  Make prompt, pragmatic choices and act with the client in mind
•  Take ownership and hold themselves and others accountable for delivering results that matter
•  Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates.  When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

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