FINRA Licensing & Registration Specialist

KeyCorp
Texas, New York, Pennsylvania, North Carolina, Ohio
Workplace: RemoteFull timeUSD 20.67 - 31.25 hourlyFunction: Legal, Risk & ComplianceExperience: 2+ yearsEducation: high_schoolSkills: ["Business acumen","Drives for results","Collaboration","Time management","Analytical thinking"]

Process and maintain securities registrations and insurance licensing/appointments for associated individuals across regulatory organizations, states, and insurance carriers. Maintain and use databases and excel reporting to provide timely responses and updates to sales force and management. Support tracking system adequacy, assist with regulatory and licensing reports, help train newly hired personnel, and participate in special projects as needed.

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FursaFursa
KeyCorp
KeyCorp
1 day ago

FINRA Licensing & Registration Specialist

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Source: Company careers pageValidated by: Fursa AI
Last checked: 19 hours agoStatus: Live

Job Summary

Process and maintain securities registrations and insurance licensing/appointments for associated individuals across regulatory organizations, states, and insurance carriers. Maintain and use databases and excel reporting to provide timely responses and updates to sales force and management. Support tracking system adequacy, assist with regulatory and licensing reports, help train newly hired personnel, and participate in special projects as needed.
Location: Texas, New York, Pennsylvania, North Carolina, Ohio
Workplace: Remote
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Process and maintain securities registrations and insurance licenses and appointments for firm and agency associated individuals with regulators, states, and insurance carriers.
  • •Maintain database systems to support and report on securities registration and insurance licensing processes.
  • •Provide sales force and management in assigned region with accurate, timely responses to registration and licensing issues and explain the rationale behind answers.
  • •Share best-practice recommendations with sales and management and provide ongoing support on registration and licensing issues.
  • •Assist with tracking system assessment and provide registration and licensing reports to regulatory organizations, states, insurance carriers, and sales management; participate in training and special projects as assigned.

Pay and Benefits

Salary: USD 20.67 - 31.25 hourly

Key Requirements

  • •High school diploma or its equivalent.
  • •2+ years of compliance, regulatory, investment, or insurance industry support experience.
  • •Working knowledge of securities and insurance industry regulations, including federal and state registration and licensing requirements.
  • •Working knowledge of bank channel non-deposit investment program registration/licensing structure and controls.
  • •Demonstrated ability to work in complex databases in Excel and meet deadlines with strong time management, organizational, analytical, and problem-solving skills.
Experience:2+ yearsComplianceRegulatoryInsuranceSecuritiesBank channelInvestment
Education:High School
Skills:Business acumenDrives for resultsCollaborationTime managementAnalytical thinking
Tech Stack:ExcelDatabases

Company Brief

KeyCorp
KeyCorp operates KeyBank, providing retail and commercial banking, lending, wealth management, and investment services to individuals, businesses, and institutions across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Cleveland, United States
Founded: 1849
Glassdoor
Glassdoor: 3.6
WebsiteLinkedIn