Registrations and Licensing Associate
Posted on: 9 Jun 2021
Birmingham, AL
Job Description
Position Purpose:
The registrations department is responsible for facilitating and administering the filing and maintenance of licenses and registrations to meet federal, state and self-regulatory organization laws, rules or requirements while providing excellent customer service.
Primary Accountabilities/Responsibilities:
Serves as first point of contact for representatives’ registration and licensing needs/ questions
Onboards new reps which includes processing and tracking FINRA registration, insurance licensing and appointments
Processes insurance appointments (review, submit, track follow-up)
Processes yearly registration/licensing renewals
Maintain tracking spreadsheets
Daily account
Registered rep and branch count
Rep list
Termed reps
Processes CRD amendments
Processes fingerprinting and submits to FINRA
Communicates rep changes to vendors (address changes, change of rep, code corrections etc)
Tracks continuing education (CE)
Maintains minutes for weekly committee call
Maintains prompt and regular attendance.
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Job Requirements:
Bachelor’s degree (preferred) or equivalent industry experience
Minimum 1 year of professional experience in a broker-dealer business, investment advisory, state regulator or compliance role is preferred
Knowledge of the rules, regulations and policies applicable to financial industry licensing and registration
Knowledge of FINRA CRD and insurance industry NIPR systems
Strong attention to detail
Strong customer service and interpersonal skills
Ability to interact with all personality types and all levels of staff
Ability to handle multiple tasks in a fast-paced environment
Ability to work under pressure and meet deadlines
Strong organizational skills
Strong problem-solving skills
Strong knowledge of Microsoft Excel, Word, PowerPoint, etc.
Must be eligible to work in the US for any employer
Physical requirements/Working conditions:
Climate controlled office environment
Minimal physical requirements other than occasional light lifting of boxed materials
Dynamic, time-sensitive environment
Some travel may be required for initial training period
INTL FCStone
New York, New York
INTL FCStone Inc. operates as a financial services company worldwide. The company's Commercial Hedging segment offers risk management consulting services related to agricultural and energy commodities, and base metal products listed on the London Metals Exchange. Its Global Payments segment provides payment solutions to banks and commercial businesses; and charities and non-governmental organizations, and government organizations.
The company’s Securities segment offers value-added solutions that facilitate cross-border trading in foreign securities, including unlisted American Depositary Receipts, Global Depository Receipts, and foreign ordinary shares. It also operates as an institutional dealer in fixed income securities to serve asset managers, commercial bank trust and investment departments, broker-dealers, and insurance companies. In addition, this segment originates, structures, and places debt instruments; trades in various international debt instruments; and offers asset management services.
The company’s Physical Commodities segment provides a range of trading and hedging services comprising over-the-counter (OTC) products for various producers, consumers, and investors. It also provides financing services to commercial commodity-related companies against physical inventories.
The company’s Clearing and Execution Services segment offers prime brokerage foreign exchange services for the financial institutions and professional traders; provides a range of OTC products, such as 24-hour a day execution of spot, forwards, and options, as well as non-deliverable forwards; and operates a proprietary foreign exchange desk that arbitrages the exchange-traded foreign exchange markets with the cash markets. The company was formerly known as International Assets Holding Corporation and changed its name to INTL FCStone Inc. in March 2011. INTL FCStone Inc. was founded in 1924 and is headquartered in New York City, New York.
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IndustryAccounting/Finance
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No. of Employees1,851
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Website
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Jobs Posted167
