Advisor Support Specialist Licensing & Registration

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Operations Associate Opportunity in Financial Services

Advisor Support Specialist Licensing & Registration


Location:               2300 Windy Ridge Parkway #1100   Atlanta, GA  30339 

                               

Summary:

We are looking for a driven and motivated individual to join our License and Registration (L&R) team.  The L&R Senior Processor will be part of a team responsible for processing FINRA license requests for new and existing representatives, assisting in registration and licensing requests, and processing insurance agent appointments and renewals with insurance carriers.  The applicant 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.

Keys:      Brokerage Processing, National Financial Processor, Broker-Dealer, Operations Processor, License & Registration

Responsibilities:

  • Processing and maintaining FINRA & Investment Advisor registrations & licenses, and branch office information for advisors on the Licensing & Registration system
  • Support advisors on registration and licensing request, etc
  • Processing insurance agent appointments and renewals with multiple insurance carriers
  • Providing positive customer service interactions to advisors regarding the L&R process, Securities & Investment Advisor registrations, and Insurance carrier appointments
  • Emphasizing customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations
  • Serve as a backup resource to coworkers that perform equivalent duties and is required to demonstrate the flexibility to respond to increases in workflow.
  • 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:

  • Strong attention to detail and accuracy
  • Strong organization skills along with the ability to handle multiple priorities
  • Excellent written and oral communications skills
  • Ability to work well under pressure and within deadlines
  • Customer service oriented
  • Working knowledge of Microsoft Word and Excel
  • Must be team-oriented and client-focused

Preferred Requirements:

  • FINRA Registration or insurance licensing experience preferred
  • Broker/Dealer industry experience preferred.