US Tech Solutions · 12 hours ago
Compliance Administrator
Florham Park, NJ
Contract
Onsite
Entry Level
2+ years expUS Tech Solutions is seeking a Compliance Administrator to support the onboarding and registration process for new representatives and employees. The role involves ensuring compliance with regulatory requirements and maintaining accurate documentation throughout the onboarding process.
Information Technology
Hiring Manager
Komal Nagdeote-Jaiswal
Responsibilities
Coordinate and manage the onboarding process for new registered representatives, employees, and affiliate
Prepare and submit registration filings through FINRA’s Web CRD/IARD systems (Forms U4, U5 BR, etc.)
Conduct background checks and verify licensing records in compliance with FINRA, SEC, and state regulatory requirements
Maintain accurate registration and licensing records in compliance with FINRA, SEC, and state regulatory requirements
Support continuing education (CE) tracking, renewals, and firm element training assignments
Assist in developing and maintain compliance procedures and onboarding checklists
Monitor and track registration statuses, ensuring timely approvals and renewals
Assist with regulatory audits, examinations and inquiries as needed
Provide administrative support to the compliance team, including data entry, document management, and reporting
Qualification
Required
2+ years of experience in a broker-dealer compliance, registration, or licensing role
Working knowledge of FINRA, SEC, and state registration requirements
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
Preferred
Bachelor's degree in Business, Finance, or related field preferred
Experience with FINRA's CRD/IARD systems strongly preferred
Prior experience 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
Company
US Tech Solutions
US Tech Solutions counted among the largest yet the fastest growing staffing firm; all achieved organically.
1001-5000 employees
H1B Sponsorship
US Tech Solutions has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (4)
2024 (9)
2023 (13)
2022 (24)
2021 (18)
2020 (14)
Funding
Current Stage
Late StageLeadership Team
Manoj Agarwal
Chief Executive Officer
Recent News
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2025-05-17
GlobeNewswire News Room
2024-12-13
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