Compliance Administrator

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.

• Coordinate and manage the onboarding process for new registered representatives, employees, and affiliate.
• Prepare and submit registration filings through FINRA’s Web CRD/IARD systems (Forms U4, U5  , etc.)
• Conduct background checks and verify licensing records in compliance with FINRA, SEC, and state regulatory requirements.
• Maintain accurate registration and licensing records in compliance with FINRA, 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.

• 2+ years of experience in a broker-dealer compliance, registration, or licensing role.
• Working knowledge of FINRA, SEC, and stte 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.

• Prior experience 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.

• Bachelor’s degree in Business, Finance, or related field preferred.

US Tech Solutions is a global staff augmentation firm providing a wide range of talent on-demand and total workforce solutions. To know more about US Tech Solutions, please visit

US Tech Solutions is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.