• Track candidates’ progress through the Pre-Registration process, reviewing forms for completeness, accuracy, and regulatory compliance.
• Act as the primary contact for advisors, managers, and internal stakeholders, addressing questions and resolving issues quickly to prevent onboarding delays.
• Compile, organize, and submit required documentation (e.g., background checks, fingerprints, Form U4 amendments) in alignment with FIINRA and firm standards.
• Coordinate handoffs and status updates between Pre-Registration, Registration, and Compliance teams to ensure a seamless advisor experience.
• Manage and maintain large volumes of sensitive documentation with precision, confidentiality, and adherence to governance standards.

• 2+ years of experience in administrative, business support, HR onboarding, or compliance documentation.
• Proven ability to manage thousands of documents with exceptional attention to detail and accuracy.
• Strong organizational, prioritization, and multitasking skills to handle competing deadlines.
• Excellent verbal and written communication skills, with a customer-first mindset.
• Intermediate MS Office proficiency (Excel, Word, Outlook); experience in the financial or regulatory industry is a plus.

The Company offers the following benefits for this position, subject to applicable eligibility requirements: medical insurance, dental insurance, vision insurance, 401(k) retirement plan, life insurance, long-term disability insurance, short-term disability insurance, paid parking/public transportation, paid time off, paid sick and safe time, hours of paid vacation time, weeks of paid parental leave, and paid holidays annually – as applicable.

Interested can reach me at 214-525-7158 or share resumes at eshika.jain@collabera.com