Regulatory Compliance Coordinator

Overview: 

The Compliance Administrator will support the onboarding and registration process for new representatives and employees joining the broker-dealer.  This individual will ensure all new hires meet regulatory, firm, and FINRA requirements and that all documentation is completed accurately and timely.  The ideal candidate will be highly organized, detail-oriented, and familiar with broker-dealer compliance procedures.

 

Key responsibilities:

• Coordinate and manage the onboarding process for new registered representatives, employees, and affiliates.
• Prepare and submit registration filings through FINRA’s Web CRD/IARD systems (Forms U4, U5 BR, etc.)
• Schedule exams for Series SIE, Series 6, Series 63, Series 26 and any additional required exams
• Conduct background checks and verify licensing records in compliance with FINRA, SEC, and state regulatory requirements, including scheduling fingerprint appointments
• Maintain accurate registration and licensing records in compliance with FINRA, SEC, and state regulatory requirements.
• Process all address changes for all associated persons
• Manage all electronic data feeds in accordance with FINRA Rule 3210 and provide notice to financial institutions
• Support continuing education (CE) tracking, renewals, and firm element training assignments and order all exam materials.
• Assist in developing and maintaining compliance procedures and onboarding checklists.
• Monitor and track registration statuses, ensuring timely approvals and renewals.
• Assist with regulatory audits, examinations and inquiries as needed.
• Organize all coffee with compliance meetings
• Provide administrative support to the compliance team, including data entry, document management, processing mail and reporting.

 

Qualifications:

• Bachelor’s degree in Business, Finance, or related field preferred.
• 2+ years of experience in a broker-dealer compliance, registration, or licensing role.
• Working knowledge of FINRA, SEC, and state registration requirements.
• Experience with FINRA’s CRD/IARD systems strongly preferred.
• Excellent Organizational and communication skills.
• Strong attention to detail and ability to manage multiple priorities.
• Proficient in Microsoft Office Suite
• Ability to work independently while collaborating effectively across departments.

Qualifications

• Prior experience in onboarding registered representatives or investment advisory personnel
• Familiarity with FINRA’s FINPRO, WebCRD, and FINRA Entitlement systems
• Understanding of firms' supervision structures, compliance policies, and continuing education programs.