Senior Licensing & Registration Specialist
Company: Advisor Group
Location: Saint Paul
Posted on: August 3, 2022
Job Description:
Why Advisor Group?...
- Competitive salary and annual bonus paid based on
performance
- Generous time off package, including paid time off, paid
holidays, and paid time to volunteer in the community
- Immediate access to extensive benefits package that includes
medical, dental and vision coverage, basic life insurance, long and
short-term disability coverage and much more
- 401(k) match from day one of employment
- Referral bonuses if we hire your referred applicants to our
open positions
- An enriching and engaging career in financial services - our
employees overwhelmingly report that they find meaning and purpose
in their day to day work
- Executive leader access and interaction in all our locations
due to flat structure, open office environments, town halls and
speed mentoring events
- New, professional, and collaborative working environment where
parking is provided Advisor Group is for an Administrative
Processing Opportunity in Financial Services Brokerage Operations
Opportunity in Financial Services Sr. Licensing & Registration
Specialist Location(s): 20 East Thomas, Phoenix, AZ 85912 2300
Windy Ridge Parkway, Atlanta, GA 30339 877 Executive Center Drive
West, St. Petersburg, FL 33702 7755 Third St. North, Oakdale, MN
55128 10 Exchange Place, Suite 1410, Jersey City, NJ 07302 12325
Port Grace Blvd, La Vista, NE 68128 Advisor Group has returned to
the office in a hybrid schedule, so we are seeking candidates
willing to work a split schedule between home and the office.
Consideration will be given to applicants seeking 100% remote work
from home. Role Type: Full-time Summary: The Senior Licensing &
Registration Specialist is primarily responsible for processing the
licensing and registration for onboarding and existing financial
professionals. In addition, our Licensing & Registration
Specialists process representative terminations, opening exam
windows, insurance appointments and processing maintenance requests
for existing representatives. The duties required include ensuring
compliance with the FINRA, SEC, and state regulatory agencies.
Responsibilities:
- Performs all securities and advisory onboarding processes for
registered individuals, including review of contracts and
affiliation documents, FINRA CRD pre-registration profile, RegEd's
Compliance Questionnaires, and communicates to the appropriate
departments for approval and sign-off, ensuring that all applicable
registration and licensing requirements are met.
- Communicates with state regulators, when needed, to inquiry
about state-specific requirements and/or statuses of state
registrations.
- Maintains FINRA, SEC and state records of approval and
termination for licenses and registrations.
- Applies licensing fees and waivers associated with onboarding
costs and daily maintenance and licensing requests.
- Assists with the processing and completion of registered
individuals' terminations, working with Supervision, Compensation,
and Compliance to complete stages of the process.
- Monitors FINRA, SEC and State licensing requirements and
informs Representatives and employees of any new licenses or
registration updates needed.
- Coordinates appropriate exams and records test results.
- Updates data in various computer systems for representatives,
advisors and employees including change requests for addresses,
contracts, commission payout, commission split, and supervision
hierarchy.
- Processes branch registrations, changes, and terminations while
understanding the various industry rules and regulations regarding
Branch requirements.
- Develops and updates procedures and checklists for securities
and advisory processes.
- Sends and monitors registered individuals' affiliation
documents through DocuSign
- Processes annual renewal and terminations of registration and
branch offices.
- Answers securities and advisory questions from advisors,
support staff and employees.
- Assists with onboarding registered employees.
- Updates and maintains records on representative outside
business activities.
- Performs research on documents, procedures, and escalated cases
on a normal basis to assist with inquiries.
- Take calls from the field related to licensing & registrations
requirements.
- All other duties as assigned Education Requirements:
- Bachelor's degree preferred, high school diploma (or
equivalent) in combination with significant experience will be
considered in lieu of degree. Minimum of high school diploma or
equivalent is required. Basic Requirements:
- 2 years of securities, insurance, or other related work
experience
- Ability to analyze information and determine appropriate
action
- Ability to work under pressure and meet deadlines
- Skill in effective verbal and written communications
- Ability to be at work on a regular and predictable basis
- Ability to communicate in person, via telephone, and/or by
email with customers, co-workers, and various business contacts in
a courteous and professional manner
- Ability to effectively function as a team player
- Ability to maintain high concentration
- Ability to navigate through the Intranet and Internet
systems
- Ability to organize, prioritize, and handle multiple tasks
- Ability to pay close attention to detail
- Ability to resolve problems and make rule-based decisions
- Skill in operating personal computer and various software
packages (i.e. Microsoft Office, Outlook, Excel, etc.) Preferred
Requirements:
- Knowledge of Salesforce, Docusign and RegEd preferred
- Previous experience with FINRA's CRD system preferred
Keywords: Advisor Group, St. Paul , Senior Licensing & Registration Specialist, Other , Saint Paul, Minnesota
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