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Operations Processor II - Licensing and Registration

Advisor Group locationAtlanta, GA
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33 positions
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Web Mktg Technology Specialist

Advisor Group locationAtlanta, GA
33 positions
info linkReport a probelm Originally Posted : March 01, 2021 | Expires : March 31, 2021

Details

Salary
Unspecified
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Job Location
Atlanta, GA, United States

Description

Brokerage Operations Opportunity in Financial Services

Sr. Operations Processor - Licensing & Registration   


Location(s): 2300 Windy Ridge Parkway, Atlanta, GA  30339 

Summary:

The Sr. Registration & Licensing Processor is responsible for processing FINRA license requests for new and existing representatives.  Our selected candidate must have knowledge and familiarity with a variety of financial/brokerage industry concepts, strong attention to detail and accuracy, strong organizational skills, and the ability to work well with both home office and Registered Representatives.

Responsibilities:

  • Obtain FINRA and Investment Advisor Registrations and state licenses for Registered Representatives. 
  • Maintain Registered Representative information on the Licensing & Registration system.
  • Register branch location within FINRA (WebCRD)
  • Process securities filings via the Licensing & Registration system.
  • Administer customer service to reps regarding securities and Investment Advisor registrations.
  • Renewal of registered personnel with FINRA via L&R.
  • Monitor & maintain information on regulatory CE for all registered representatives.
  • 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:

  • 5+ years' industry experience
  • FINRA Registration or insurance licensing experience
  • Must be proficient in the following: Microsoft Excel, Word, Excel, Web CRD experience
  • Strong attention to detail and accuracy
  • Strong organization skills along with the ability to handle multiple priorities
  • Excellent written and oral communications skills
  • Customer service oriented

Preferred Requirements:

  • Securities license(s) preferred

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