Operations Processor Senior

Be a part of the team behind our success!  At Advisor Group, we support more than 5,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Licensing & Registration Opportunity in Financial Services

Senior Operations Processor


Location:         

7755 Third St. North  Oakdale, MN  55128

20 E Thomas Road, Phoenix, AZ  85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

Role Type:  Full-time               

Summary:

The Registration & Licensing Processor is responsible for processing FINRA license requests for new and existing representatives, assisting in onboarding of representatives, 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 Processor, Operations Processor, Brokerage Processing, Operations Support, National Financial Processor, Broker-Dealer, Financial Services, Brokerage Operations, Securities Industry, National Financial Services LLC   

Responsibilities:

  • Processing and maintaining FINRA & Investment Advisor registrations & licenses, and branch office information for advisors on the Licensing & Registration system
  • Onboarding of new Registered Representatives, Registered Assistants, etc.
  • Assist in the Onboarding of Non-Registered Assistants and Home Office Employees
  • Processing insurance agent appointments and renewals with multiple insurance carriers
  • Providing positive customer service interactions to advisors regarding the Onboarding process, Securities & Investment Advisor registrations, and Insurance carrier appointments
  • Emphasizing customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations
  • 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

Preferred Requirements:

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

Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.