FINRA Licensing & Registration Specialist

KeyBank • Brooklyn, OH

3d • Hybrid

About The Position

Support the functional activities of the Compliance Department, primarily the day-to-day processing of the securities registration, and insurance licensing/appointment processes for securities and insurance representatives of Key Investment Services LLC (KIS) and KeyCorp Insurance Agency USA Inc. (KIA).

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, specifically 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 with strong computer skills
• Demonstrated ability to meet deadlines and exhibit strong time management skills
• Demonstrated ability to work in self-directed manner with good organizational skills
• Demonstrated ability to problem solve and exhibit strong analytical skills

Responsibilities

• Process and maintain the securities registrations and insurance licenses and appointments of firm and agency associated individuals with regulatory organizations, states and insurance carriers in an accurate, timely manner.
• Maintain database systems to support and report on the securities registration and insurance licensing process.
• Provide sales force and management in assigned region with accurate and timely responses to registration and licensing issues with a thorough explanation of the rationale behind each answer.
• Share best practice recommendations with sales force and management in assigned region and provide ongoing support to firm personnel regarding registration and licensing issues.
• Assist in the continuous assessment of the adequacy of firm tracking systems for accuracy and provision of best service to sales force.
• Assist in providing registration and licensing reports to regulatory organizations, states, insurance carriers and sales management as needed.
• Participate in conducting training sessions with newly hired personnel in assigned region on relevant registration and licensing topics when needed.
• Participate in special projects as assigned.

Benefits

• Compensation for this role also includes incentive compensation which may include production, commission, and/or discretionary incentives.
• Please click here for a list of benefits for which this position is eligible.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED