Securities Licensing & Registration Specialist

KeyBank; Mountain Home (TX); On-site; USD 28,000 - 43,000; Full time

Benefits offered by this job

Flexible in-office options

Job summary

KeyBank is seeking a Compliance Support Specialist to process and maintain securities registrations and insurance licenses for individuals linked to Key Investment Services LLC and KeyCorp Insurance Agency USA Inc. This role reports to the Compliance Department and emphasizes accurate regulatory processing and timely response to licensing questions.

The ideal candidate has 2+ years in compliance or related support, strong Excel and data skills, and a proven ability to manage deadlines in a

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.

Responsibilities

• 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.

Skills

Analytical skills

Time management

Organizational skills

Self-directed

Problem solving

Excel proficiency

Education

High school diploma or equivalent

Tools

Excel

Job description

KeyBank is seeking a Compliance Support Specialist to process and maintain securities registrations and insurance licenses for individuals linked to Key Investment Services LLC and KeyCorp Insurance Agency USA Inc. This role reports to the Compliance Department and emphasizes accurate regulatory processing and timely response to licensing questions.

The ideal candidate has 2+ years in compliance or related support, strong Excel and data skills, and a proven ability to manage deadlines in a