TSR Consulting · 18 hours ago
FINRA Registration Specialist
Florham Park, NJ
Contract
Onsite
Entry, Mid Level
2+ years expTSR Consulting is seeking an experienced FINRA Registration Specialist for a 3-month contract to hire position. The role involves leading the FINRA registration process for new and transfer-level representatives, ensuring compliance with regulatory guidelines, and managing project timelines and stakeholder communications.
Recruiting
Responsibilities
Lead the end-to-end FINRA registration process for 40 full-time associates, ensuring timely submission of Form U4, fingerprints, and any required state registrations
Maintain up-to-date knowledge of FINRA rules, SRO requirements, and state securities regulations. Ensure all registration activities adhere to regulatory guidelines
Develop and manage a detailed registration project plan, track milestones, escalate issues, and communicate progress to stakeholders
Act as the primary point of contact between ADP associates, internal HR/Talent teams, and external regulatory bodies (FINRA, NASD, state regulators)
Prepare and maintain accurate registration records, audit logs, and status reports. Provide daily/weekly updates on registration progress
Identify and resolve any registration challenges (e.g., disclosure issues, background check delays) to keep timelines on track
Qualification
Required
Minimum of 2–3 years managing FINRA registrations (Form U4/U5), CE requirements, and state registrations within a financial services environment
Strong understanding of FINRA Series exam requirements (e.g., Series 7, 63, 65), continuing education, and associated compliance processes
Proven ability to manage registration projects with multiple stakeholders, tight deadlines, and shifting priorities
Excellent verbal and written communication skills; capable of liaising with senior management and regulatory bodies
Meticulous record-keeping and documentation skills
Preference for fully on-site in Florham Park, NJ; hybrid schedule (3 days in office, 2 days WFH) acceptable
Must be available to start July 1, 2025, and commit through the duration of the registration cycle (60–90 days, with potential extension)
Company
TSR Consulting
TSR is a relationship-based, customer-focused IT and technical services staffing company.
501-1000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown2012-08-20IPO
Leadership Team
Thomas Salerno
CEO
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