At AGM Tech Solutions, we partner with high impact enterprise and mid size clients to solve complex challenges through top-tier talent. Our Direct client is hiring:
Position Title: Compliance Administrator
Contract to Hire
Position Summary:
Overview:
The Compliance Administrator will support the onboarding and registration process for new representatives and employees joining the broker-dealer. This individual will ensure all new hires meet regulatory, firm and Client requirements and that all documentation is completed accurately and timely. The ideal candidate will be highly organized, detail-oriented, and familiar with broker-dealer compliance procedures.
Key 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.
Qualifications:
- 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 stte 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 Skills:
- 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.