Compliance Administrator

Compliance AdministratorAt ADP we are driven by your success. We engage your unique talents and perspectives. We welcome your ideas on how to do things differently and better. In your efforts to achieve, learn and grow, we support you all the way. If success motivates you, you belong at ADP.We strive for every interaction to be driven by our CORE values: Insightful Expertise, Integrity Is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, & Social Responsibility.The Compliance Administrator plays a critical operational and support role within the broker-dealer's compliance department. This position ensures accurate and timely processing of associate regulatory filings, management of registration data, and coordination with internal teams, external vendors, and regulatory authorities to maintain compliance with FINRA and state regulatory requirements. The ideal candidate possesses strong attention to detail, excellent communication skills, and the ability to manage multiple regulatory and administrative workflows in a fast-paced environment.ResponsibilitiesPartner with the firm's outsourced compliance vendor on all new hire Form U4 reviews.Open exam windows for new hires for the Series 6, 63, and 26 examinations.Schedule all required qualification exams for both new and existing associates.Monitor the FINRA website to confirm exam completion and passing results.Submit all state registration requests and respond to any regulator inquiries.Respond to all state registration attestations, including citizenship verification requests from Arizona and Nebraska.Process and distribute all incoming mail, subpoenas, and notices of litigation.Forward checks received by the firm to the designated broker-dealer lockbox.Serve as the primary liaison for financial account processing and oversight.Review all brokerage account notifications submitted through the compliance platform by associates.Obtain approval from the Chief Compliance Officer for associate financial accounts and notify financial institutions of account status changes.Ensure data feeds from financial institutions are properly connected for trade monitoring.Notify financial institutions when associates terminate (Form U5) to discontinue trade statement transmissions.Provide associates with helpdesk-style guidance and support for brokerage account reporting obligations.Schedule and manage all compliance training meetings via Webex, including registration tracking and announcements.Order and distribute exam study materials for the Series 6, 63, and 26 exams.Process invoices and coordinate compliance expense submissions with the Finance department.Maintain and organize the compliance department's physical and electronic filing systems.Qualifications RequiredBachelor'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; experience with FINRA Gateway and Web CRD is a plus.Strong organizational, analytical, and communication skills.Ability to manage multiple priorities and meet deadlines with high accuracy.Professional discretion and respect for confidentiality in handling regulatory and personal information.Attention to Detail: Ensures accuracy in all regulatory filings and data entry.Collaboration: Works effectively with IT, vendors, Finance, and Compliance leadership.Regulatory Awareness: Understands FINRA and state-level registration requirements.Customer Service Orientation: Provides clear, accurate, and timely guidance to associates.Process Management: Maintains consistent procedures and documentation for compliance operations.