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Sr. Operations Processor, Licensing & Registration

Advisor Group La Vista, NE
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Brokerage Operations Opportunity in Financial Services

Sr. Operations Processor - Licensing & Registration   

Preferred Location:      12325 Port Grace Boulevard, La Vista, NE 68128

20 E Thomas Road, Phoenix, AZ  85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

877 Executive Center Drive West, St. Petersburg, FL 33702

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:

  • Three or more years' industry experience.
  • Must be proficient in the following: Microsoft Excel, Word, Excel, Web CRD experience, CESAR.
  • 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:

  • FINRA Registration or insurance licensing experience preferred
  • Securities license(s) preferred
Date Posted May 5, 2022
Date Closes June 4, 2022
Requisition R0002401
Address 12325 Port Grace Blvd
Located In La vista, NE
Work At La Vista
SOC Category 00-0000.00
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