Registrations and Compliance Specialist Job Fort Mill area,South Carolina USA,Finance & Banking

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.

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