RIS Investment Services Licensing Specialist

1 month ago

Hoover, United States Regions Full time

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice.

Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system.

Job Description:

At Regions, the RIS Investment Services Licensing Specialist provides operational support within the Investment Services division. This support may include, but is not limited to reporting, customer account maintenance, or providing agent support. This position also provides entry-level support for front-office colleagues specific to licensing operational procedures, processes and guidelines.

Primary Responsibilities

  • Ensures licensed bankers follow the pre-licensing processes, reviews documents, reconciles invoices, researches inquiries, and has some contact with Managers inside and outside of the line of business
  • Assists with the management of the RegIS database through RegEd (continuing education provider)
  • Facilitates registration documents for Financial Advisors and Associate Financial Consultants through Cetera Investment Services, Inc.
  • Answers representative questions concerning the status of their insurance licensure and continuing education
  • Provides support and service to Licensed Bank Associates throughout the Regions footprint
  • Ensures all registered associates are properly licensed/registered through Regions Investment Services, Inc. Broker/Dealer, Cetera Investment Services, Inc.
  • Supports licensing renewal process for all corporate insurance licenses
  • Provides routine reports as needed for home office staff, field, and insurance carriers
  • May deliver insurance licensing information to newly hired representatives and guides new representatives through the initial insurance licensing and insurance carrier appointment process

This position requires the tracking of time and is eligible for overtime for hours worked more than 40 per week under the Fair Labor Standards Act.

Requirements

  • High School Diploma or equivalent
  • Previous administrative and/or customer service experience

Preferences

  • Experience in banking, insurance, or related financial services field
  • Experience in financial/ investment licensing, registration, or brokerage related services

Skills and Competencies

  • Attention to detail and organizational skills
  • Effective communication and customer service skills
  • Familiarity with databases such as Access, Excel plus other Microsoft suite programs
  • Proficiency with internet based applications

This position may be filled at a higher level depending on the candidate's qualifications and relevant experience.

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Job Range Target:

Minimum:

$39,000.00 USD

Median:

$47,020.00 USD

Incentive Pay Plans:

This job is not incentive eligible.

Benefits Information

Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.

  • Paid Vacation/Sick Time
  • 401K with Company Match
  • Medical, Dental and Vision Benefits
  • Disability Benefits
  • Health Savings Account
  • Flexible Spending Account
  • Life Insurance
  • Parental Leave
  • Employee Assistance Program
  • Associate Volunteer Program

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please click or copy the link below to your browser.

Location DetailsRiverchase Complex North BuildingLocation:Hoover, Alabama

Bring Your Whole Self to Work

We have a passion for creating an inclusive environment that promotes and values the differences that make each of us stand out as unique individuals and help provide valuable perspective that makes us a better company and employer. More importantly, we recognize that creating a workplace where everyone, regardless of background, can do their best work and thrive is the right thing to do.

OFCCP Disclosure: Equal Opportunity Employer/Disabled/Veterans

Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.

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