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Dealer • san bernardino ca

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Sr Registration Specialist, Broker-Dealer

Sr Registration Specialist, Broker-Dealer

Horace MannRiverside, CA, US
serp_jobs.job_card.full_time
Sr Registration Specialist, Broker-Dealer.We are seeking a detail-oriented Registration and Licensing Compliance Specialist to support our regulatory and compliance functions.In this role, you will...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
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Dealer Account Manager

Dealer Account Manager

Westlake Financial ServicesRiverside, CA, US
serp_jobs.job_card.full_time
Westlake Financial is the largest privately held auto finance company in the United States with demonstrated growth year over year. We continue to expand our teams and diversify our business model.T...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Dealer Care Advocate

Dealer Care Advocate

VirtualVocationsSan Bernardino, California, United States
serp_jobs.job_card.full_time
A company is looking for a Dealer Care Advocate to provide high-quality support to sales partners and Independent Sales Organizations (ISOs). Key Responsibilities Respond to partner inquiries and ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Table Games Dealer (Part-Time)

Table Games Dealer (Part-Time)

San Manuel Band of Mission IndiansHighland, CA, United States
serp_jobs.job_card.part_time
Under the direction of the Supervisor, Table Games, the Table Games Dealer is responsible for dealing a variety of casino table games in strict accordance with the rules of the respective games and...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Table Games Dealer (Part-Time)

Table Games Dealer (Part-Time)

San Manuel CasinoHighland, California, US
serp_jobs.job_card.part_time
JOB DESCRIPTION Under the direction of the Supervisor, Table Games, the Table Games Dealer is responsible for dealing a variety of casino table games in strict accordance with the rules of the resp...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_30
Dealer Account Manager

Dealer Account Manager

Hankey GroupRiverside, CA, United States
serp_jobs.job_card.full_time
Westlake Financial is the largest privately held auto finance company in the United States with demonstrated growth year over year. We continue to expand our teams and diversify our business model, ...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Dealer Account Manager

Dealer Account Manager

Westlake ServicesRiverside, CA, United States
serp_jobs.job_card.full_time
Dealer Account Manager (Remote - on the road) at Westlake Financial.Westlake is the largest privately held auto finance company in the United States with assets exceeding $18B and a network of more...serp_jobs.internal_linking.show_moreserp_jobs.last_updated.last_updated_variable_days
Sr Registration Specialist, Broker-Dealer

Sr Registration Specialist, Broker-Dealer

Horace MannRiverside, CA, US
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Sr Registration Specialist, Broker-Dealer

Sr. Registration Specialist

Location : Remote

We are seeking a detail-oriented Registration and Licensing Compliance Specialist to support our regulatory and compliance functions. In this role, you will manage registration filings, ensure licensing compliance across the firm, and serve as a subject-matter expert for regulatory requirements. This is an excellent opportunity for a self-motivated professional with a strong understanding of broker-dealer registration processes who thrives in a collaborative, fast-paced environment.

Essential Job Functions

  • Prepare and review Form U4 / U5 filings via FINRA's Web CRD / IARD systems.
  • Manage state registration requests, terminations, and amendments.
  • Ensure licensing requirements are met for all associated persons, including exams and renewals.
  • Review escalated registration cases involving disclosures, dual registrations, or heightened supervision.
  • Partner with HR on onboarding and offboarding of registered personnel.
  • Support the firm's annual renewal process, including reconciliation of fees with Finance.
  • Contribute to the development and maintenance of Written Supervisory Procedures (WSPs) related to registration.
  • Oversee continuing education (CE) compliance, track deadlines, and coordinate reminders.
  • Maintain accurate registration data in firm systems and CRD.
  • Generate and distribute status reports and dashboards for management.
  • Identify and escalate trends, risks, and deficiencies in registration compliance.
  • Serve as a point of contact for registration questions from representatives and managers.
  • Provide guidance and training to staff and business partners.
  • Coordinate with regulators on registration-related inquiries.
  • Contribute to special compliance projects as assigned.

Qualifications

  • Bachelor's degree in Business, Finance, or related field (or equivalent experience).
  • 35 years of experience in broker-dealer registration, licensing, or compliance functions.
  • Proficiency with FINRA Web CRD / IARD, Form U4 / U5 processes, and state registration requirements.
  • Strong knowledge of FINRA, SEC, and state securities regulations.
  • Exceptional attention to detail, organizational skills, and ability to manage multiple priorities.
  • Excellent written and verbal communication skills.

    • Preferred Skills & Certifications

  • Experience with FINRA Gateway and other regulatory filing systems.
  • FINRA SIE, Series 7, and / or Series 24 licenses are strongly preferred.
  • Ability to work independently in a remote environment while maintaining high-quality standards.

    • Pay range : $71,500 $105,400 yearly