Compliance Administrator

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

At AGM Tech Solutions, we partner with high impact enterprise and mid size clients to solve complex challenges through top-tier talent. Our Direct client is hiring:

Position Title: Compliance Administrator

Contract to Hire

Position Summary:

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 Client 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 affiliate.
• Prepare and submit registration filings through Client's Web CRD/IARD systems (Forms U4, U5 BR, etc.)
• Conduct background checks and verify licensing records in compliance with Client, SEC, and state regulatory requirements.
• Maintain accurate registration and licensing records in compliance with Client, SEC, and state regulatory requirements.
• Support continuing education (CE) tracking, renewals, and firm element training assignments.
• Assist in developing and maintain compliance procedures and onboarding checklists.
• Monitor and track registration statuses, ensuring timely approvals and renewals.
• Assist with regulatory audits, examinations and inquiries as needed.
• Provide administrative support to the compliance team, including data entry, document management, 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 Client, SEC, and stte registration requirements.
• Experience with Client'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.

Preferred Skills:

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