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State Registration Specialist

Entry Level


  • This position reviews and approves the daily work of the compliance vendor, performs quality control testing, process registration and vendor payments and provide support to the department.
  • Perform review of reports to identify action items needed and analyze historical sales data to project future filing needs.
  • Act as liaison with various groups and vendors to complete ad hoc projects.
  • Maintain accurate and timely record keeping of department files.
  • Timely follow-up with open issues per state instructions.
  • Review and approve/decline requests for registration.  Work to keep funds in compliance with state laws.
  • Perform quality control testing on vendor’s work; maintain issue log.
  • Forecast and update registration expense projections for the funds.
  • Process and balance payments for registration and vendor expense.
  • Provide vendor with SEC filing information relative to fund changes.
  • Provide state securities regulators with registration information and documentation.
  • Research daily sales to determine if they can be exempted from registration.


  • Bachelor’s degree in business related discipline or 3 years of business experience in a regulatory environment or minimum of 2 years of experience with accounting, banking or finance
  • Knowledge of state registration regulations preferred
  • Proficiency using Microsoft Excel and familiarity with database applications required

Key Job Details

  • Job Location: Greater Pittsburgh, PA Area
  • Qualifications:
  • Experience: