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 #hiringnow for an Administrative Processing Opportunity in Financial Services
Brokerage Operations Opportunity in Financial Services
Sr. Licensing & Registration Specialist
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
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.
- 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
- 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.
- 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.)
- Knowledge of Salesforce, Docusign and RegEd preferred
- Previous experience with FINRA's CRD system preferred