FINRA Registration Specialist
hace 13 días
Florham Park
Job Description FINRA Registration Specialist (3 Month Contract to hire) Location: Florham Park, NJ (On-site preferred; 3 days in office / 2 days WFH hybrid option) We are seeking an experienced FINRA Registration Specialist. The ideal candidate will have deep expertise in FINRA registration processes, exceptional project management skills, and the ability to drive timely, compliant registration of new and transfer-level representatives. Key Responsibilities • Registration Coordination: Lead the end-to-end FINRA registration process for 40 full-time associates, ensuring timely submission of Form U4, fingerprints, and any required state registrations., • Regulatory Compliance: Maintain up-to-date knowledge of FINRA rules, SRO requirements, and state securities regulations. Ensure all registration activities adhere to regulatory guidelines., • Project Management: Develop and manage a detailed registration project plan, track milestones, escalate issues, and communicate progress to stakeholders., • Stakeholder Liaison: Act as the primary point of contact between ADP associates, internal HR/Talent teams, and external regulatory bodies (FINRA, NASD, state regulators)., • Documentation & Reporting: Prepare and maintain accurate registration records, audit logs, and status reports. Provide daily/weekly updates on registration progress., • Experience: Minimum of 2–3 years managing FINRA registrations (Form U4/U5), CE requirements, and state registrations within a financial services environment., • Regulatory Knowledge: Strong understanding of FINRA Series exam requirements (e.g., Series 7, 63, 65), continuing education, and associated compliance processes., • Project Skills: Proven ability to manage registration projects with multiple stakeholders, tight deadlines, and shifting priorities., • Communication: Excellent verbal and written communication skills; capable of liaising with senior management and regulatory bodies., • Attention to Detail: Meticulous record-keeping and documentation skills., • Location & Schedule: Preference for fully on-site in Florham Park, NJ; hybrid schedule (3 days in office, 2 days WFH) acceptable., • Availability: Must be available to start July 1, 2025, and commit through the duration of the registration cycle (60–90 days, with potential extension). Company DescriptionAbout BCforward: Founded in 1998 on the idea that industry leaders needed a professional service, and workforce management expert, to fuel the development and execution of core business and technology strategies, BCforward is a Black-owned firm providing unique solutions supporting value capture and digital product delivery needs for organizations around the world. Headquartered in Indianapolis, IN with an Offshore Development Center in Hyderabad, India, BCforward’s 6,000 consultants support more than 225 clients globally. BCforward champions the power of human potential to help companies transform, accelerate, and scale. Guided by our core values of People-Centric, Optimism, Excellence, Diversity, and Accountability, our professionals have helped our clients achieve their strategic goals for more than 25 years. Our strong culture and clear values have enabled BCforward to become a market leader and best in class places to work. BCforward is an equal opportunity employer.About BCforward:\r\n\r\nFounded in 1998 on the idea that industry leaders needed a professional service, and workforce management expert, to fuel the development and execution of core business and technology strategies, BCforward is a Black-owned firm providing unique solutions supporting value capture and digital product delivery needs for organizations around the world. Headquartered in Indianapolis, IN with an Offshore Development Center in Hyderabad, India, BCforward’s 6,000 consultants support more than 225 clients globally.\r\n\r\nBCforward champions the power of human potential to help companies transform, accelerate, and scale. Guided by our core values of People-Centric, Optimism, Excellence, Diversity, and Accountability, our professionals have helped our clients achieve their strategic goals for more than 25 years. Our strong culture and clear values have enabled BCforward to become a market leader and best in class places to work.\r\n\r\nBCforward is an equal opportunity employer.