Offboarding Sr. Registrations Associate

Job Title

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.

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 :

Skill in :

Ability to :

Educational / Previous Experience Requirements

Licenses / Certifications

Less than 25% Travel

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 :

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.