Brokerage Operations Opportunity in Financial Services
Sr. Operations Processor - Licensing & Registration
Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339
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.
- 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
- 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.
- 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
- Securities license(s) preferred