Securities Licensing & Registration Specialist

KeyBank; United States; Hybrid; USD 28,000 - 43,000; Full time

Job summary

KeyBank is seeking a detail‑oriented Compliance Licensing Specialist in Brooklyn, OH. You will process securities registrations and insurance licenses for firm personnel, maintain related databases, and respond to licensing questions with clear rationale.

You will collaborate with sales and management in the region, share best practices, assist in reporting to regulators and carriers, and help train new hires on licensing topics. Flexible to in-office with remote options.

Qualifications

• High school diploma or equivalent.
• 2+ years in compliance, regulatory, investment or insurance industry support.
• Working knowledge of securities and insurance 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

Regulatory knowledge

Excel skills

Time management

Analytical thinking

Self-directed work

Organizational skills

Education

High school diploma

Tools

Compliance systems

Job description

KeyBank is seeking a detail‑oriented Compliance Licensing Specialist in Brooklyn, OH. You will process securities registrations and insurance licenses for firm personnel, maintain related databases, and respond to licensing questions with clear rationale.

You will collaborate with sales and management in the region, share best practices, assist in reporting to regulators and carriers, and help train new hires on licensing topics. Flexible to in-office with remote options.