Compliance Registration and Onboarding Specialist

Quick Facts

• Role: Compliance Registration and Onboarding Specialist
• Team focus: Compliance Licensing & Registration (primarily FINRA Members)
• Work scope: Licensing and registration processing, regulatory filings, onboarding compliance support, documentation maintenance, and process improvements
• On-site expectation: at least 3 days per week

Description

Support the regulatory filing and registration lifecycle for FINRA Members and their individuals, including broker/dealer registrants and Associated Persons. You will handle day-to-day processing, maintain licensing and registration processes, and assist with onboarding-related compliance tasks and special projects.

Responsibilities

• Support regulatory filing needs of FINRA Members (e.g., Form BD, Form BR)
• File Form U-4, Form U-5, and amendments
• File Form NRF and NRF amendments
• Collect and ensure documentation is retained for Associated Person employee files to comply with SEC Rule 17a-3(a)(12)
• Assist with MyComplianceOffice tasks relating to Associated Person requirements
• Participate in developing and implementing process improvements to increase quality and scalability
• Maintain registered and Associated Persons documentation
• Partner with the People Team for new hire onboarding (fingerprinting coordination, background check review, and disclosure request follow-ups)
• Lead special projects as designated
• Order examination materials and respond to examination-related questions
• Maintain Standard Operating Procedure documentation and internal reference resources
• Respond to licensing and registration questions for Associated Persons
• Review Outside Business Activities, Private Securities Transactions, Gifts & Entertainment, and Professional Designations for policy alignment
• Assist with FINRA Rule 1240 Continuing Education tasks
• Support broker feed offering and data delivery processes
• Contribute to a culture of high ethical standards and integrity

Requirements

• Bachelor’s degree in a related field
• 5+ years working in Compliance, Licensing & Registration, or a related brokerage function
• Strong working knowledge of FINRA CRD / Gateway
• Strong understanding of FINRA Registration rules (1000–3000)
• Self-starter who can work independently
• Strong written and verbal communication, analytical skills, and attention to detail
• High emotional intelligence (EQ)
• Motivation to learn new tools and skills, including using AI to increase impact

Benefits

• Performance-driven compensation (multipliers), bonus programs, equity ownership, and 401(k) matching
• 100% paid health insurance for employees and 90% coverage for dependents
• Access to top AI tools and continuous AI skill-building
• Lifestyle wallet for flexible spending on wellness and learning
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off including holidays, paid time off, sick time, parental leave, and more
• Employee fund opportunity for eligible US employees
• Exceptional office experience (catered meals, events, comfortable workspaces)