Branch Licensing Specialist

Corebridge Financial • Houston, TX

1d • Hybrid

About The Position

Responsibilities: Monitoring, tracking and processing of advisor profiles within the firm’s books and records platforms. Provide QA review between various firm platforms such as FINRA and BRACS related to rep profile and branch/CRD assignments Monitor the recruiting tool database to set up new hire records in coordination with the Compliance Licensing team related to assignment of advisor code and personal data set up Assist in updating and tracking desk procedure documentation on key functions within the team and submitting for review and approvals Assist team with email notifications with other business partner areas including but not limited to compensation, supervision, electronic communication compliance, compliance licensing, field management, HR recruiting Assist in activities related to division transfers, terminations, branch / CRD changes, branch openings and closing this includes reviewing in take forms, updating firm books and records related to advisor records, monitoring / updating status reports, coordination with other partner areas impacts by the changes Assist field in ensuring state registration renewals are occurring in a timely manner Assist in responding to questions from the field related to branch / CRD assignments, licensing needs / renewals and testing progress for required securities exams for job roles Provide support to ensure home office supervisory structure is maintained in the firm’s systems of record Assist the field to clear out licensing holds on accounts needing to be addressed within BRACS Provide instructions to field to reassign accounts when license will not be renewed to ensure client records are being reassigned in a timely manner Provide additional support to the account reassignment process when needed or as assigned

Requirements

• 4-year degree preferred or at least 5 years financial services experience
• Must be proficient with Microsoft applications specifically excel, power point and word
• Must have strong communication skills
• Must be able to collaborate with others
• Must be able to be associated with the Broker-Dealer as a Non-Registered Fingerprinted employee
• Ability to obtain FINRA SIE and Series 99

Responsibilities

• Monitoring, tracking and processing of advisor profiles within the firm’s books and records platforms.
• Provide QA review between various firm platforms such as FINRA and BRACS related to rep profile and branch/CRD assignments
• Monitor the recruiting tool database to set up new hire records in coordination with the Compliance Licensing team related to assignment of advisor code and personal data set up
• Assist in updating and tracking desk procedure documentation on key functions within the team and submitting for review and approvals
• Assist team with email notifications with other business partner areas including but not limited to compensation, supervision, electronic communication compliance, compliance licensing, field management, HR recruiting
• Assist in activities related to division transfers, terminations, branch / CRD changes, branch openings and closing this includes reviewing in take forms, updating firm books and records related to advisor records, monitoring / updating status reports, coordination with other partner areas impacts by the changes
• Assist field in ensuring state registration renewals are occurring in a timely manner
• Assist in responding to questions from the field related to branch / CRD assignments, licensing needs / renewals and testing progress for required securities exams for job roles
• Provide support to ensure home office supervisory structure is maintained in the firm’s systems of record
• Assist the field to clear out licensing holds on accounts needing to be addressed within BRACS
• Provide instructions to field to reassign accounts when license will not be renewed to ensure client records are being reassigned in a timely manner
• Provide additional support to the account reassignment process when needed or as assigned

Benefits

• Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
• Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms). These Company contributions vest immediately.
• Employee Assistance Program: Confidential counseling services and resources are available to all employees.
• Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
• Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
• Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level