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Licensing & Registration Specialist

4 months ago

Akron, United States Gilder Search Group Full time

Do you have a passion for helping people by using your strong problem-solving skills to resolve an issue? Do you enjoy working amongst a team and collaborating with others? Would people describe you as self-disciplined, careful, and thorough? Do you appreciate having a methodical, structured approach to your work? If so, this could be the job for you Valmark Financial Group is looking for someone who posses these skills to join our team as a Licensing & Registration Specialist. This is a great opportunity to join a team that impacts and influences multiple areas of our company, as well as provide support to our external clients JOIN OUR TEAM At Valmark, people are the most critical component of our long-term success and fittingly the number one reason why our employees say they love working here. Employees encourage each other to succeed and have a true desire to help our advisors and clients, defining the Golden Rule that is the very essence of our culture. We also invest in our people and challenge them to reach new goals with professional development opportunities, while allowing the flexibility of a work-life balance. Our entrepreneurial spirit fosters new ideas and ways of thinking that makes working here interesting and exciting while our management team is collaborative and transparent with a clear vision for long-term success. These things combined have made Valmark a place to find a rewarding and fulfilling career and earned us the distinction of 2021 and 2020’s Top Work Places in Northeast Ohio JOB SUMMARY The Licensing & Registration Specialist is responsible and accountable for supporting regulatory licensing and registration related to Valmark Financial Group’s three primary lines of business: Broker Dealer, Investment Advisory, and Insurance. Responsibilities include maintaining registrations with the Financial Industry Regulatory Authority (FINRA), various state securities regulators, as well as insurance licensing with state insurance regulators. Additional responsibilities include tracking insurance and securities continuing education and the maintenance of insurance carrier appointments, along with additional Licensing Department tasks as assigned. ESSENTIAL FUNCTIONS AND RESPONSIBILITIES • Process requests from producers including additional state licensing needs, additional state registration needs and additional carrier appointments. • Perform detailed insurance license review for each new branch office and associate. Follow-up to provide assistance for recommendations as necessary. • Work in tandem with insurance and operations departments to verify appropriate insurance licensing, product training, continuing education, and carrier appointments are in place. • Enter data into Valmark’s systems to track producers’ registration and licenses. • Understand and assist registered representatives and agents with insurance license questions regarding meeting all necessary requirements. • Communicate and support branch offices with changes to individual state insurance and securities registration requirements. • Maintain insurance carrier appointments for all Valmark corporate entities and Valmark staff. Licensing & Registration Specialist • Work with various Valmark departments to assist in developing effective and efficient policies and procedures for registration, licensing and appointment on-boarding, verification, and terminations. • Be responsible for assisting with all aspects of registration including individual and corporate Broker-Dealer and Investment Advisory registration. • Support continuing education implementation including preparing notifications to associates of upcoming continuing education requirements, submissions to the individual State Departments of Insurance, reporting continuing education course credits, etc. • Assist with all aspects of corporate and agency license maintenance and various Secretaries of State reporting. CORE COMPETENCIES • Highly detailed oriented and strong organization skills • Ability to work in a fast-paced environment, performing a variety of time-sensitive tasks • Excellent written and oral communication skills • Ability to identify and solve problems in a timely manner with little oversight REQUIRED EDUCATION AND EXPERIENCE • High School Diploma or GED • Windows-based software experience PREFERRED EDUCATION AND EXPERIENCE • SIE and Series 7 registrations PHYSICAL DEMANDS This is a largely sedentary role. It may involve repetitive motions in the hands/wrists as this role is dependent on consistent computer-use during the workday. POSITION TYPE AND EXPECTED HOURS OF WORK Days and typical hours of work are Monday through Friday, 8:30 a.m. to 5:00 p.m. Flexibility in working hours is allowed, but the employee must work 40 hours each week to maintain full-time status. #LI-HP1 Compensation $42,500.00 Posted:

Thursday, March 28, 2024 Job #

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