FINRA Licensing & Securities Registration Specialist

KeyBank; Kentucky; On-site; USD 28,000 - 43,000; Full time

Benefits offered by this job

In-office with flexible options

Job summary

KeyBank is seeking a Compliance Support professional to process and manage securities registrations and insurance licenses for firm personnel and affiliated agencies. The role involves database maintenance, timely responses to licensing questions, and collaboration with sales teams across the region.

Experience in regulatory requirements and strong analytical skills are essential. In addition to standard duties, the position includes training new staff on registration topics and participating in

Qualifications

• High school diploma or equivalent.
• 2+ years in compliance, regulatory, investment or insurance support.
• Knowledge of securities and insurance regulations (federal and state).
• Knowledge of bank channel non-deposit investment program registration/licensing.

Responsibilities

• Process and maintain securities registrations and insurance licenses/appointments of firm and agency personnel with regulatory bodies.
• Maintain databases to support registration/licensing processes and reporting.
• Provide timely responses to registration/licensing issues with clear rationale.
• Share best practices with sales force and management and assist with ongoing support.

Skills

Regulatory compliance

Securities licensing

Time management

Analytical skills

Problem solving

Education

High School Diploma or equivalent

Tools

Excel

Job description

KeyBank is seeking a Compliance Support professional to process and manage securities registrations and insurance licenses for firm personnel and affiliated agencies. The role involves database maintenance, timely responses to licensing questions, and collaboration with sales teams across the region.

Experience in regulatory requirements and strong analytical skills are essential. In addition to standard duties, the position includes training new staff on registration topics and participating in