Job Description

FINRA Registration Specialist (Contract, 60–90 Days, Hybrid)

Location: Florham Park, NJ (On-site preferred; 3 days in office / 2 days WFH hybrid option)

Start Date: July 1, 2025

Duration: 60–90 days (potential extension until all FTEs are registered)

Position Type: 40 hr Week, temporary contract

Position Summary

We are seeking an experienced FINRA Registration Specialist to manage and execute the registration of 40 existing associates into our hybrid program in Roseland (RS), beginning July 1. 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.
• Issue Resolution: Identify and resolve any registration challenges (e.g., disclosure issues, background check delays) to keep timelines on track.

Qualifications

• 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).

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