Securities Licensing Ops Specialist — Onboarding & Compliance

Phyton Talent Advisors; City of White Plains (NY); Vor Ort; USD 65.000 - 80.000; Vollzeit

Zusammenfassung

Phyton Talent Advisors is seeking a Securities Licensing Operations Specialist to support the full licensing process for Life/Health and Securities candidates, from enrollment through results and next steps.

The specialist coordinates licensing activities, answers field inquiries, manages exam registrations, and maintains licensing records, serving as a primary operational resource for candidates and partners.

Qualifikationen

• Strong customer support and customer service experience.
• Ability to manage a high volume of inbound and outbound calls.
• Excellent phone etiquette and clear verbal communication.
• Active listening and customer-focused demeanor.
• Strong organizational skills and attention to detail.
• Ability to manage competing priorities in a fast-paced, high-volume environment.
• Knowledge of FINRA regulations.

Aufgaben

• Prepare and organize licensing materials and enroll agents.
• Manage the full SIE licensing process for first-time candidates and retakers.
• Initiate registrations for Series 6, 7, 63, and 66 exams, including retakes.
• Track candidate progress and keep timelines on track.
• Create schedules for licensing classes and manage the calendar.
• Send communications about licensing classes and reminders after results.
• Handle high volume calls and emails from candidates, agents, Service, Field Managers, and Home Office partners.
• Maintain licensing records across multiple systems and FINRA reports.
• Fulfill reporting requests and provide licensing information to partners.
• Identify licensing issues and support process improvements.

Kenntnisse

Customer service

Phone etiquette

Active listening

Organizational skills

Attention to detail

FINRA regulations

Jobbeschreibung

Phyton Talent Advisors is seeking a Securities Licensing Operations Specialist to support the full licensing process for Life/Health and Securities candidates, from enrollment through results and next steps.

The specialist coordinates licensing activities, answers field inquiries, manages exam registrations, and maintains licensing records, serving as a primary operational resource for candidates and partners.