Finance Associate

2 weeks ago


Albany, United States Walrath Recruiting, Inc. Full time

Our client, a full-service broker/dealer, is seeking an Entry-Level Finance Associate to join their team. This role provides an excellent opportunity to gain experience in the finance and insurance sectors while working in a collaborative environment. As a member of the licensing department, you will play a key role in supporting the licensing and appointment processes for Registered Representatives and Agents, ensuring compliance with state and regulatory standards.


Key Responsibilities:

  • Oversee and manage the licensing and appointment processes for Registered Representatives and Agents.
  • Organize, track, and maintain data related to insurance licenses and appointments.
  • Monitor the status of new, renewed, and expired state insurance licenses.
  • Research state-specific licensing requirements to ensure adherence to regulatory standards.
  • Provide information and support regarding insurance products and their availability.
  • Maintain and update licensing and appointment records in the company’s database.


Qualifications:

  • Active NYS Life, Accident, and Health Insurance License or FINRA SIE (Securities Industry Essentials) is preferred. Candidates must be willing to take the necessary licenses if not already obtained.
  • Willingness to pursue additional FINRA licenses as required.
  • Prior experience in data entry or data management is preferred.
  • Basic knowledge of state licensing, appointment, and contracting processes is preferred.
  • Strong attention to detail with exceptional analytical and organizational skills.
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook) is required.


Working Hours & Benefits:

  • Schedule: Monday to Friday, 8:30 AM – 5:00 PM
  • Location: In-office position

Benefits:

  • Paid Time Off (PTO)
  • Health, Dental, and Vision Insurance
  • 401(k) Retirement Plan



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