Compliance Administrator
$15.34/h-$41.11/h
a day ago
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OnsiteFull-timeMid
Summary
ADP is seeking a Compliance Administrator to join their team in Florham Park, NJ. The role involves ensuring accurate and timely processing of regulatory filings and managing compliance with FINRA and state requirements.
About the Role
As a Compliance Administrator, you will play a critical operational and support role within the broker-dealer’s compliance department. Your responsibilities will include partnering with compliance vendors, scheduling qualification exams, managing registration data, responding to regulatory inquiries, and providing guidance to associates on brokerage account reporting obligations.
About You
Required:
- Bachelor’s degree preferred or equivalent experience in financial services, compliance, or operations.
- Minimum of 2 years of experience in a broker-dealer compliance or registration role.
- Strong familiarity with FINRA registration processes, Form U4, and state registration systems (CRD).
- Proficiency in Excel and database management systems.
- Strong organizational, analytical, and communication skills.
- Ability to manage multiple priorities and meet deadlines with high accuracy.
Preferred:
- Experience with FINRA Gateway and Web CRD.
- Professional discretion and respect for confidentiality in handling regulatory and personal information.
- Attention to detail and process management skills.
Benefits
- Medical, Dental, Vision, Life Insurance
- Matched Retirement Savings
- Wellness Program
- Short-and Long-Term Disability
- Charitable Contribution Match
- Holidays, Personal Days & Vacation
- Paid Volunteer Time Off
ADP
Designing better ways to work through cutting-edge products, premium services and exceptional experiences that enable people to reach their full potential. HR, Talent, Time Management, Benefits and Payroll. Informed by data and designed for people.
Florham Park, NJ