Registrations and Compliance Specialist

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

Company

A prominent Fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

What You Will Be Doing

This role is part of the Compliance & Registrations team, supporting back‑office, behind‑the‑scenes processing work.

Ideal Candidate

We’re seeking collaborative, service‑oriented professionals who thrive in fast‑paced environments. Success in this role requires excellent communication skills and attention to detail.

What You Can Expect

Growth Opportunities: You'll receive consistent coaching and feedback with opportunities to expand your licensing and grow into more senior roles.

Requirements

• 1‑2 years of relevant experience
• Broker‑Dealer experience is strongly preferred
• Prior Registrations experience and/or experience related to Insurance
• Strong written and verbal communication skills
• Quick learner with ability to adapt in a dynamic environment
• Excellent multitasking, attention to detail, and follow‑up skills
• Solid problem‑solving abilities

Day to Day Responsibilities

Cross‑functional support / BAU work

Rotating and cross‑training across operational processes

Compliance & Registration Tasks

• Submissions and updates to FINRA and U4
• Internal data and record updates
• Insurance appointments processing

Data & Reporting Work

• Data mapping and spreadsheet reviews for CNF
• Data collection and validation

Operations Processing

• Back‑office, behind‑the‑scenes processing work

Technical Skills

• Excel proficiency preferred: strong with VLOOKUPs and formulas

Equal Opportunity Employer

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.