Financial Services Licensing & Registration Coordi
Job Opportunity at bizjobz LLC

Posted on Sep 12

http://www.bizjobz.com    (212) 575-7278

Location: Agoura Hills, CA
Job Type: Full Time
Job ID: W4142064

The Company:

Our client is one the country’s largest insurers of vehicles, homes and small businesses and provides a wide range of other insurance and financial services products.  It serves more than 10 million households and more than 20 million individual policies across all 50 states through the efforts of over 50,000 exclusive and independent agents and nearly 24,000 employees.

Why Our Client is a Great Company:
  • Great benefits including Retirement Plan, 401(k), STIP (Short Term Incentive Plan, Medical Coverage, Wellness Program, Dental, Vision, Tax-advantaged accounts, Life Insurance, EAP, PTO, short and long-term disability coverage. 
  • In addition to these benefits our Client also provides paid holidays, tuition assistance, on-site Credit Union in most larger locations, commuter benefits, relocation services, employee discounts, legal services plan and much more.
The Position:  Financial Services Licensing & Registration Coordinator
Job Summary:
  • Will complete all necessary tasks for initial FINRA Licensing, maintenance, and terminations of Licenses.
  • Heavy emphasis on customer service and continuous improvement while ensuring compliance with FINRA and other relevant regulations.
  • Handle straightforward cases and works with the Senior Coordinators on more complicated cases.
  • Provides excellent service to the agency force and employees.
  • The Coordinator will be licensed as a FINRA Principal and have responsibility for signing off on U4's, Disclosures, and U5's on behalf of the firm.
  • They will have accountability for staying current with rules and regulations and making appropriate decisions.
Essential Job Functions:
  • Customer service - email/phone contact with agency force and employees.
  • Review Licensing applications, maintenance, and termination issues and make decisions per FINRA and firm rules. 
  • Running/creating reports to assist management in decision making. Ad hoc projects as assigned by management
Education Requirements:
  • College degree or 4 years of related industry experience.
  • Must have completed or will complete FINRA Series 6, 26, and 63 registrations within 6 months of hire.
Experience Requirements:
  • 2+ to 5 years’ experience
  • Experience with FINRA reporting systems. 
  • Microsoft Excel and Word.
Special Skill Requirement:
  • Ability to work independently, manage ambiguity, and make decisions with minimal supervision.
Skills & Certifications:
  • Four-year Degree PREFERRED
  • FINRA Series 6, 26, & 63 required (within 6 months of hire) PREFER already have license.
  • Experience in a financial services firm or securities regulatory agency highly preferred
  • Microsoft Excel and Word
  • Security Clearance Required: No
  • MUST BE A US CITIZEN OR HAVE A GREEN CARD
IDEAL CANDIDATE:
  • 2-4 years’ experience in life insurance and/or securities industry and/or experience with a securities regulatory agency
  • Broker Dealer Operationss in a financial services firm preferred
  • Already has FINRA Series 6, 26 & 63 registrations
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