Securities Registration Specialist I-II

4 weeks ago

Jefferson City, United States Missouri Secretary of State Full time
Job DescriptionJob Description

Description:

Provide critical support to the Division's Registration Section to facilitate the review and ultimate approval (or denial) of firms and individuals seeking registration in Missouri to transact business as broker/dealers, broker/dealer agents, investment advisers and investment adviser representatives.

Job Functions and General Responsibilities:

  • Process, in a timely fashion, applications from firms and individuals seeking registration in Missouri as broker/dealers, broker agents, investment advisers and investment adviser representatives, using the Division's on-line platforms, including, but not limited to, Web CRD/IARD and CORE.
  • Monitor to ensure that all proper documentation has been received by applicants and correspond directly with applicants on any missing items.
  • Serve as point of contact for inquiries regarding requirements for applicants and registrants seeking status of their applications.
  • Analyze application data responses, disclosure documents and disciplinary histories of applicants for any irregularities or missing required information.
  • Prepare and assist the Division's Examinations Section with the opening and closing procedures for applications from broker-dealer and investment adviser firms.
  • Prepare and assist the Examinations Section on post-examination follow-up with investment adviser firms to confirm that they have taken corrective action on all deficiencies identified during the course of the exam by Examinations staff.
  • Prepare correspondence and communications informing applicants of issues concerning the application that include, but are not limited to, deficiencies, requests for additional information and requests for additional supplemental documentation.
  • Analyze problems, questions, issues, etc.
  • Make recommendations to senior management for approval or denial of an applicant's registration.
  • Maintain organized files of all documents and records received or created during the application process for each entity and individual applicant, including ensuring compliance with the Registration Section's record retention and destruction policies.
  • Monitor compliance with Plans of Heightened Supervision that the Division has in place with certain registered individuals and inform senior management of any issues of non-compliance.
  • Assist in the processing of notice filings for securities-related investment products.
  • Maintain appropriate documentation related to the registration and notice filings of securities offerings in Missouri.
  • Assist the Division with its investor education initiatives, including participating in public events.
  • Processing payments from registrants.
  • Perform other related duties as assigned.

Knowledge, Skills and Abilities:

  • 0-5 years relevant experience.
  • Must be organized, detail-oriented and able to prioritize work effectively.
  • Ability to work independently and as a team, exercise flexibility, initiative, good judgment and discretion.
  • Strong writing and research skills.
  • Good interpersonal skills and ability to establish and maintain effective working relationships with attorneys, peers, state and federal agencies and the public.
  • Willingness to learn and desire to gain knowledge and develop skills to improve work performance.
  • Proficiency with Microsoft Outlook, Word and Excel. Prior experience with Web CRD/IARD system a plus. Job will require training on use of the Division's internal electronic records and filing systems, CORE and SAM II and, as necessary, Web CRD/IARD.

Qualifications:

  • College degree is preferred but not required. Knowledge of securities registration and licensing is also helpful but not required. Knowledge and/or prior experience with financial services industry and/or customer service experience is preferred.

The above job description in no way implies that these are the only duties to be performed by this employee. The incumbent is expected to perform other duties necessary for the effective operation of the department.



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