Regulatory Compliance Coordinator

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 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 affiliates.
• Prepare and submit registration filings through FINRA’s Web CRD/IARD systems (Forms U4, U5 BR, etc.)
• Schedule exams for Series SIE, Series 6, Series 63, Series 26 and any additional required exams
• Conduct background checks and verify licensing records in compliance with FINRA, SEC, and state regulatory requirements, including scheduling fingerprint appointments
• Maintain accurate registration and licensing records in compliance with FINRA, SEC, and state regulatory requirements.
• Process all address changes for all associated persons.
• Manage all electronic data feeds in accordance with FINRA Rule 3210 and provide notice to financial institutions.
• Support continuing education (CE) tracking, renewals, and firm‑element training assignments and order all exam materials.
• Assist in developing and maintaining compliance procedures and onboarding checklists.
• Monitor and track registration statuses, ensuring timely approvals and renewals.
• Assist with regulatory audits, examinations and inquiries as needed.
• Organize all coffee with compliance meetings.
• Provide administrative support to the compliance team, including data entry, document management, processing mail and reporting.

• 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 FINRA, SEC, and state 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 in 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.