Job Description
As a Contracting & Licensing Specialist, you'll be at the core of our operations-making sure that our Broker Dealer representatives are fully equipped, properly registered, and ready to serve clients across the country.
This is more than just paperwork-you'll be a trusted partner for representatives, compliance teams, and leadership alike, supporting smooth onboarding, accurate licensing, and proactive problem resolution.
What You'll Do:
- Manage the full onboarding and termination process for ONESCO representatives, ensuring accurate regulatory filings and seamless transitions.
- Keep broker dealer representative records current with Investment Adviser Representative (IAR) registrations, state and FINRA licenses, professional designations, and more.
- Distribute and amend IAR brochures, communicate licensing updates, and support reps with regulatory guidance.
- Coordinate Continuing Education (CE) tracking and materials, ensuring representatives stay ahead of their CE requirements.
- Manage registration, renewal, and maintenance for both field offices and internal branches.
Maintain internal systems (like Caesar) with updated back-office and front-facing data- -ensuring accuracy across platforms. - Work closely with commissions, accounting, and enterprise Contracting & Licensing teams to process payments, credits, and ensure data integrity.
- Handle licensing invoices, maintain]]>
Job Tags
Part time,