Compliance & Registrations Specialist – Financial Services

Associate Staffing; Fort Mill (SC); On-site; USD 45,000 - 65,000; Full time

Job summary

Associate Staffing is looking for a detail-oriented professional for the Compliance & Registrations team in Fort Mill, South Carolina. In this role, you will provide essential back-office support to ensure smooth processing of compliance tasks.

The ideal candidate has 1-2 years of relevant experience, especially in broker-dealer settings. Strong communication skills and the ability to multitask are essential for success in this dynamic work environment.

Opportunities for growth and professional development are available.

Qualifications

• 1-2 years of relevant experience is required.
• Broker-Dealer experience is strongly preferred.
• Strong written and verbal communication skills are essential.

Responsibilities

• Support cross-functional compliance and registrations processes.
• Assist with submissions and updates to FINRA and U4.
• Conduct data mapping and validation tasks.

Skills

Communication skills

Attention to detail

Multitasking

Problem-solving

Adaptability

Tools

Excel

Job description

Associate Staffing is looking for a detail-oriented professional for the Compliance & Registrations team in Fort Mill, South Carolina. In this role, you will provide essential back-office support to ensure smooth processing of compliance tasks.

The ideal candidate has 1-2 years of relevant experience, especially in broker-dealer settings. Strong communication skills and the ability to multitask are essential for success in this dynamic work environment.

Opportunities for growth and professional development are available.