Job Summary

Under direct supervision, uses specialized skills and knowledge gained through experience and training to guide others to administer the registration process for Financial Advisors. Is detail-oriented. Follows established procedures to perform a variety of tasks requiring some evaluation, originality, or ingenuity in making routine decisions. Serves as a resource to resolve problems and issues. Maintains regular contact with internal partners and representatives to obtain, clarify or provide facts and information and resolve registration and licensing issues.

Essential Duties and Responsibilities

• Assists in monitoring the work of others and provides training in registration policies and procedures.

• Prepares and submits required forms and/or requests for registering financial advisors in accordance with policies, industry standards and federal and state securities laws.

• Responds to escalated internal inquiries and resolves registration issues with internal partners.

• Establishes and maintains registration record keeping systems through timely books and records maintenance.

• Ensures new hire registrations, personal status changes, and transfers are processed in a timely and accurate manner.

• Oversees the submission of initial registration applications and other requests to the Financial Industry Regulatory Authority (FINRA) system.

• Interprets and summarizes registration, employment and credit details from FINRA system to assist in employment decisions.

• Handles/assists with reconciliation and chargeback of all registration fees.

• Maintains currency in FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.

• Operates standard office equipment and uses required software applications.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

• Concepts, principles, and practices of financial advisor registration and licensing.

• Rules and regulations of the Financial Industry Regulatory Authority and state securities regulatory agencies.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Preparing complex forms, processing, and tracking large volumes of data.

• Responding to and resolving inquiries and issues regarding registration.

• Establishing and maintaining files and records.

• Interpreting and summarizing personal information involved in employment decisions.

• Performing accounting functions.

• Entering large volumes of data into electronic systems accurately and efficiently to meet deadlines.

• Handling multiple avenues of communcation.

• Explaining complex registration issues to others.

• Operating standard office equipment and using required software applications.

Ability to:

• Lead the work of others and provide training in registration policies and procedures.

• Coach and mentor others.

• Attend to detail while maintaining a big picture orientation.

• Read, interpret, analyze, and apply information from regulatory agencies.

• Influence, motivate and persuade others to achieve desired outcomes without organizational authority.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.

• Maintain confidentiality.

• Establish and maintain effective working relationships at all levels of the organization.

• Increase knowledge of FINRA, state and other regulatory agency rules and regulations regarding financial advisor registration.

Educational/Previous Experience Requirements

• High School diploma or equivalent and a minimum of four (4) years of relevant work experience in the securities industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• None Required.

• Appropriate series license(s) for assigned functional area preferred.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Travel

• None Required.