Regulatory Compliance Specialist

Responsibilities

The Compliance Regulatory Compliance Specialist supports broker-dealer onboarding and registration, ensuring new hires meet FINRA, SEC, state, and firm requirements. The role focuses on accurate, timely regulatory filings, licensing, and compliance documentation.

• Manage onboarding for registered representatives, employees, and affiliates
• Prepare and submit FINRA registrations (U4, U5,  ) via Web CRD/IARD
• Schedule required licensing exams and fingerprinting
• Conduct background checks and verify licensing records
• Maintain accurate registration, licensing, and address change records
• Manage FINRA Rule 3210 data feeds and notifications
• Track continuing education, renewals, and firm element training
• Monitor registration status and ensure timely approvals
• Support regulatory audits and examinations
• Assist with compliance procedures, onboarding checklists, and administrative tasks
• Organize compliance meetings and handle document management and reporting

• Bachelor’s degree in Business, Finance, or related field preferred
• 2+ years of broker-dealer compliance, registration, or licensing experience
• Working knowledge of FINRA
  , SEC, and state regulations
• Financial industry regulatory authority
• Experience with FINRA CRD/IARD systems
• Strong organizational, communication, and multitasking skills
• Proficiency in Microsoft Office
• Ability to work independently and cross-functionally

• Experience onboarding registered representatives or advisory personnel
• Familiarity with FINPRO, WebCRD, and FINRA Entitlement systems
• Understanding of supervisory structures, compliance policies, and CE programs

$27/hr to $37/hr.

Exact compensation may vary based on several factors, including skills, experience, and education.

Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.