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LICENSING ANALYST in Dallas, TX at 1st Global

Date Posted: 6/21/2018

Job Snapshot

  • Employee Type:
  • Location:
    Dallas, TX
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

The Licensing Analyst is responsible for the broker-dealer, registered investment advisor and insurance agent licensing, registration, appointment and maintenance functions for all 1st Global employees, affiliated Financial Advisors and their support staff.

Essential Duties/Responsibilities:
• Process timely Form U4 and Form U5 filings to facilitate on-boarding and off-boarding activities.
• Process and monitor advisor exam and registration requests.
• Process and monitor advisor insurance license and appointment request.
• Perform regular updates to advisor contact records and branch office records as required in CRD, IARD and various internal systems to ensure the records remain accurate.
• Monitor Regulatory Element Continuing Education requirements for the purpose of insuring licenses and registrations remain active.
• Maintain the physical files for all 1st Global affiliates through regular document filing.
• Other duties assigned to support the Licensing and Compliance organizations.

Minimum Qualifications:
• College degree is preferred
• Series 7 is preferred
• 3 years of experience in a support role within the financial services or insurance industry is preferred.
• Insurance agency and producer licensing experience is preferred. 
Knowledge, Skills and Abilities:
• Must be able to maintain the highest level of confidentiality
• Must have excellent verbal and written communication skills.
• Must have excellent organizational skills
• Must have strong attention to details.
• Must have strong computer skills, including proficiency in MS Office applications