FINRA Registration Specialist

Location:

ESSENTIAL JOB FUNCTIONS

• Process and maintain the securities registrations and insurance licenses and appointments  of firm and agency associated individuals with regulatory organizations, states and insurance carriers in an accurate, timely manner.
• Maintain database systems to support and report on the securities registration and insurance licensing process.
• Provide sales force and management in assigned region with accurate and timely responses to registration and licensing issues with a thorough explanation of the rationale behind each answer.
• Share best practice recommendations with sales force and management in assigned region and provide ongoing support to firm personnel regarding registration and licensing issues.
• Assist in the continuous assessment of the adequacy of firm tracking systems for accuracy and provision of best service to sales force.
• Assist in providing registration and licensing reports to regulatory organizations, states, insurance carriers and sales management as needed.
• Participate in conducting training sessions with newly hired personnel in assigned region on relevant registration and licensing topics when needed.
• Participate in special projects as assigned.

REQUIRED QUALIFICATIONS

• High school diploma or its equivalent
• 2 + years of compliance, regulatory, investment or insurance industry support experience
• Working knowledge of securities and insurance industry regulations, specifically federal and state registration and licensing requirements
• Working knowledge of bank channel non-deposit investment program registration/licensing structure and controls
• Demonstrated ability to work in complex databases in excel with strong computer skills
• Demonstrated ability to meet deadlines and exhibit strong time management skills
• Demonstrated ability to work in self-directed manner with good organizational skills
• Demonstrated ability to problem solve and exhibit strong analytical skills

COMPETENCIES/SKILLS
Business Acumen – Knows how businesses work; knowledgeable in current and possible future policies, practices, trends, and information affecting his/her business and organization; knows the competition; is aware of how strategies and tactics work in the marketplace.
Drives for Results - Can be counted on to exceed goals successfully; is consistently a solid performer, is very bottom line oriented; steadfastly pushes self and others for results; demonstrates personal accountability for achieving results within established timelines and budget parameters; pursues work with energy, drive and focus.
Effective Collaboration - Identifies and involves the right stakeholders to make decisions and maximize results; readily shares information, knowledge, best practices, and ideas with teammates; leverages opportunities and capabilities across the team to accomplish goals; attentive and active listener; has the patience to hear people out; can accurately restate the opinion of others even when he/she disagrees.
Informing - Provides the information people need to know to do their jobs and to feel good about being a member of the team, unit, and/or the organization; provides individuals information so that they can make accurate decisions; is timely with information.
Organizing - Can marshal resources (people, funding, material, support) to get things done; can orchestrate multiple activities at once to accomplish a goal; uses resources effectively and efficiently; arranges information and files in a useful manner.

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $40,000 to $55,000 annually depending on location and job-related factors such as level of experience, education, licenses, and certifications. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.

Please click here for a list of benefits for which this position is eligible.

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be Mobile or Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing [email protected].

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