FINRA Licensing & Regulatory Compliance 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

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.