Compliance Regulatory Administrator

Overview
The Compliance Regulatory Compliance Specialist supports broker-dealer onboarding and registration, ensuring new hires meet FINRA, SEC, state, and firm requirements. The role focuses on accurate, timely regulatory filings, licensing, and compliance documentation.

Key Responsibilities
• Manage onboarding for registered representatives, employees, and affiliates
• Prepare and submit FINRA registrations (U4, U5, BR) via Web CRD/IARD
• Schedule required licensing exams and fingerprinting
• Conduct background checks and verify licensing records
• Maintain accurate registration, licensing, and address change records
• Manage FINRA Rule 3210 data feeds and notifications
• Track continuing education, renewals, and firm element training
• Monitor registration status and ensure timely approvals
• Support regulatory audits and examinations
• Assist with compliance procedures, onboarding checklists, and administrative tasks
• Organize compliance meetings and handle document management and reporting

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.

Qualifications
• Bachelor’s degree in Business, Finance, or related field preferred
• 2+ years of broker-dealer compliance, registration, or licensing experience
• Working knowledge of FINRA, SEC, and state regulations
• Experience with FINRA CRD/IARD systems
• Strong organizational, communication, and multitasking skills
• Proficiency in Microsoft Office
• Ability to work independently and cross-functionally

Preferred Skills
• Experience onboarding registered representatives or advisory personnel
• Familiarity with FINPRO, WebCRD, and FINRA Entitlement systems
• Understanding of supervisory structures, compliance policies, and CE programs

Benefit packages for this role will start on the 1st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.