Regulatory Compliance Coordinator - Florham Park

Only for registered members Florham Park, United States

1 day ago

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Full time

Job summary

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 FINRA requirements.


Responsibilities

  • Coordinate and manage the onboarding proces...s for new registered representatives...
  • Prepare an...d submit registration filings through FINRA's Web CRD/IARD systems (Forms U4... etc.)

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