AGM Tech Solutions - A Woman and Latina-owned IT Staffing Firm-an Inc. 5000 company · 2 days ago
Compliance Administrator
Florham Park, NJ
Contract
Hybrid
Entry, Mid Level
2+ years expAGM Tech Solutions is a Woman and Latina-owned IT Staffing Firm that partners with high impact enterprise and mid size clients. They are seeking a Compliance Administrator to support the onboarding and registration process for new representatives and employees, ensuring compliance with regulatory and firm requirements.
ConsultingInformation TechnologyRecruiting
Responsibilities
Coordinate and manage the onboarding process for new registered representatives, employees, and affiliate
Prepare and submit registration filings through Client's Web CRD/IARD systems (Forms U4, U5 BR, etc.)
Conduct background checks and verify licensing records in compliance with Client, SEC, and state regulatory requirements
Maintain accurate registration and licensing records in compliance with Client, 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
Bachelor's degree in Business, Finance, or related field preferred
2+ years of experience in a broker-dealer compliance, registration, or licensing role
Working knowledge of Client, SEC, and state registration requirements
Experience with Client's CRD/IARD systems strongly preferred
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
Prior experience onboarding registered representatives or investment advisory personnel
Familiarity with Client's FINPRO, WebCRD, and Client Entitlement systems
Understanding of firms supervision structures, compliance policies, and continuing education programs
Company
AGM Tech Solutions - A Woman and Latina-owned IT Staffing Firm-an Inc. 5000 company
AGM Tech Solutions is a national IT staffing and consulting firm — proudly certified as a Minority-Latina Business Enterprise (MBE) and a WBENC-certified Woman-Owned Business.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Mirtes Lobaito
Founder and CEO
Company data provided by crunchbase