FINRA Licensing & Registration Specialist

KeyBank; Mountain Home (NC); Hybrid; USD 28,000 - 43,000; Full time

Job summary

KeyBank in Brooklyn, OH seeks a Compliance and Licensing Specialist to process securities registrations and insurance licenses for affiliated individuals, and to maintain essential databases supporting regulatory compliance.

You will provide timely, well-reasoned responses to licensing questions for sales and management, share best practices, and train new staff while assisting with project work as needed.

Qualifications

• High school diploma or equivalent required.
• 2+ years in compliance/regulatory/investment or insurance support.
• Knowledge of securities/insurance regs, and licensing requirements.
• Experience with bank channel non-deposit investment program licensing.
• Ability to work with complex Excel databases and meet deadlines.

Responsibilities

• Process and maintain securities registrations and licenses for individuals.
• Maintain databases supporting registrations and licensing processes.
• Provide accurate licensing responses with rationale to sales/management.
• Share best practices and support personnel with licensing topics.
• Assist in evaluating tracking systems for accuracy and service.
• Provide licensing reports to regulators, carriers and management.
• Train newly hired personnel on registrations and licensing topics.
• Participate in special projects as assigned.

Skills

Business Acumen

Drives for Results

Effective Collaboration

Informing

Organizing

Education

High school diploma

Tools

Excel

Job description

Location

4900 Tiedeman Road, Brooklyn Ohio

Essential Job Functions

• Process and maintain the securities registrations and insurance licenses and appointments of firm and agency associated individuals with regulatory organizations, states and insurance carriers in an accurate, timely manner.
• Maintain database systems to support and report on the securities registration and insurance licensing process.
• Provide sales force and management in assigned region with accurate and timely responses to registration and licensing issues with a thorough explanation of the rationale behind each answer.
• Share best practice recommendations with sales force and management in assigned region and provide ongoing support to firm personnel regarding registration and licensing issues.
• Assist in the continuous assessment of the adequacy of firm tracking systems for accuracy and provision of best service to sales force.
• Assist in providing registration and licensing reports to regulatory organizations, states, insurance carriers and sales management as needed.
• Participate in conducting training sessions with newly hired personnel in assigned region on relevant registration and licensing topics when needed.
• Participate in special projects as assigned.

Required Qualifications

• High school diploma or its equivalent
• 2 + years of compliance, regulatory, investment or insurance industry support experience
• Working knowledge of securities and insurance industry regulations, specifically federal and state registration and licensing requirements
• Working knowledge of bank channel non-deposit investment program registration/licensing structure and controls
• Demonstrated ability to work in complex databases in excel with strong computer skills
• Demonstrated ability to meet deadlines and exhibit strong time management skills
• Demonstrated ability to work in self-directed manner with good organizational skills
• Demonstrated ability to problem solve and exhibit strong analytical skills

Competencies / Skills

• Business Acumen – Knows how businesses work; knowledgeable in current and possible future policies, practices, trends, and information affecting his/her business and organization; knows the competition; is aware of how strategies and tactics work in the marketplace.
• Drives for Results - Can be counted on to exceed goals successfully; is consistently a solid performer, is very bottom line oriented; steadfastly pushes self and others for results; demonstrates personal accountability for achieving results within established timelines and budget parameters; pursues work with energy, drive and focus.
• Effective Collaboration - Identifies and involves the right stakeholders to make decisions and maximize results; readily shares information, knowledge, best practices, and ideas with teammates; leverages opportunities and capabilities across the team to accomplish goals; attentive and active listener; has the patience to hear people out; can accurately restate the opinion of others even when he/she disagrees.
• Informing - Provides the information people need to know to do their jobs and to feel good about being a member of the team, unit, and/or the organization; provides individuals information so that they can make accurate decisions; is timely with information.
• Organizing - Can marshal resources (people, funding, material, support) to get things done; can orchestrate multiple activities at once to accomplish a goal; uses resources effectively and efficiently; arranges information and files in a useful manner.

Compensation And Benefits

This position is eligible to earn a base hourly rate in the range of $20.67 - $31.25 per hour. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes incentive compensation which may include production, commission, and/or discretionary incentives.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

Job Posting Expiration Date: 10/18/2026

KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing [e-mail].