Finance Associate
2 weeks ago
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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