Senior Registration Specialist – Registrations LPLE

• Processing advisor requests, state registrations, exam requests and other registration requests
• Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing
• Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions
• Assisting partner departments with questions and workflow
• Ensuring regulatory compliance on owned processes
• Accurate and speedy data entry
• Process insurance appointments and licensing requests

• 1+ years of relevant experience in financial services, insurance, or a related financial organization
• Ability to handle multiple tasks in a high-volume and fast past environment
• Strong attention to detail and prioritization of tasks
• Adaptability, and able to adjust as business needs demand
• Client-Centric with excellent Customer Service experience
• Proficiency with Microsoft Office suite such as Excel and Outlook
• Data entry, mailbox management and documentation experience
• Dynamics (case management), Oracle (registration), and FINRA CRD experience
• Experience working with advisors and other internal departments
• High School Diploma or GED Equivalency

Demonstrates proficiency in data entry, regulatory compliance, and understanding of FINRA and state registration rules. Capable of managing multiple tasks in a fast-paced environment while providing excellent customer service.

• Data Entry
• Regulatory Compliance
• FINRA CRD Experience
• Microsoft Office Suite Proficiency
• Client-Centric Customer Service

• Data Entry
• Documentation Experience
• Processing New Advisor Paperwork
• Insurance Licensing
• State Registrations

• Attention to Detail
• Adaptability
• Prioritization
• Client-Centric Approach

• High School Diploma
• GED Equivalency

• Financial Services
• Insurance
• Advisor Requests
• Regulatory Compliance
• High-Volume Environment

• Microsoft Excel
• Microsoft Outlook
• Dynamics (Case Management)
• Oracle (Registration)