Broker-Dealer Compliance Onboarding Specialist

AGM Tech Solutions - A Woman and Latina-owned IT Staffing Firm-an Inc. 5000 company; Florham Park (NJ); On-site; USD 60,000 - 80,000; Full time

Job summary

A reputable IT staffing firm is seeking a Compliance Administrator in Florham Park, NJ. This role involves managing the onboarding process for new representatives and ensuring compliance with regulatory requirements. Ideal candidates will have a bachelor's degree, 2+ years in broker-dealer compliance, and proficiency with CRD/IARD systems. Strong organizational skills and attention to detail are essential. The company offers a contract-to-hire opportunity.

Qualifications

• 2+ years of experience in a broker-dealer compliance, registration, or licensing role.
• Strong knowledge of Client, SEC, and state registration requirements.
• Experience onboarding registered representatives or investment advisory personnel.

Responsibilities

• Coordinate and manage the onboarding process for new registered representatives.
• Prepare and submit registration filings through Client's Web CRD/IARD systems.
• Conduct background checks and verify licensing records.
• Maintain accurate registration and licensing records.
• Support continuing education tracking and renewals.

Skills

Organizational skills

Communication skills

Attention to detail

Proficiency in Microsoft Office Suite

Ability to manage multiple priorities

Education

Bachelor's degree in Business, Finance, or related field

Tools

Client's CRD/IARD systems

Job description

A reputable IT staffing firm is seeking a Compliance Administrator in Florham Park, NJ. This role involves managing the onboarding process for new representatives and ensuring compliance with regulatory requirements. Ideal candidates will have a bachelor's degree, 2+ years in broker-dealer compliance, and proficiency with CRD/IARD systems. Strong organizational skills and attention to detail are essential. The company offers a contract-to-hire opportunity.