FINRA Registration & Licensing Specialist jobs in United States
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TSR Consulting · 1 week ago

FINRA Registration & Licensing Specialist

positionFlorham Park, NJ
timeContract
remoteHybrid
seniorityEntry, Mid Level
date2+ years exp

TSR Consulting is seeking a Compliance Administrator to support the onboarding and registration process for new representatives and employees within a highly regulated broker-dealer environment. The Compliance Administrator will be responsible for ensuring all new hires meet regulatory requirements and that all registration and onboarding documentation is completed accurately and on time.

Recruiting

Responsibilities

Coordinate and manage the onboarding process for new registered representatives, employees, and affiliates
Prepare and submit registration filings through FINRA Web CRD and IARD systems, including Forms U4, U5, and BR
Conduct background checks and verify licensing records in compliance with FINRA, SEC, and state requirements
Maintain accurate registration and licensing records
Track continuing education requirements, renewals, and firm element training assignments
Monitor registration statuses to ensure timely approvals and renewals
Assist in maintaining and updating compliance procedures and onboarding checklists
Support regulatory audits, examinations, and inquiries as needed
Provide administrative support to the compliance team, including data entry, documentation, and reporting

Qualification

Broker-dealer complianceFINRA registration processesFINRA CRDIARD systemsOrganizational skillsCommunication skillsMicrosoft OfficeAttention to detailWork independently

Required

Bachelor's degree in Business, Finance, or a related field preferred
Two or more years of experience in broker-dealer compliance, registration, or licensing
Working knowledge of FINRA, SEC, and state registration requirements
Experience with FINRA CRD and IARD systems strongly preferred
Strong organizational and communication skills
Excellent attention to detail and ability to manage multiple priorities
Proficiency with Microsoft Office
Ability to work independently while collaborating effectively with cross-functional teams

Preferred

Experience onboarding registered representatives or investment advisory personnel
Familiarity with FINRA FINPRO, Web CRD, and entitlement systems
Understanding of supervision structures, compliance policies, and continuing education programs

Company

TSR Consulting

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TSR is a relationship-based, customer-focused IT and technical services staffing company.
dateFounded in 1969
location
Hauppauge, New York, USA
people-size501-1000 employees
web-link
http://www.tsrconsulting.com/

Funding

Current Stage
Public Company
Total Funding
unknown
2012-08-20IPO

Leadership Team

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Thomas Salerno
CEO
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Company data provided by crunchbase