Insurance & Securities License Coordinator

Summary:
The duties of the Insurance & Securities License Coordinator involve handling the day-to-day processing of all insurance related items. This includes filing initial and renewal insurance applications, monitoring insurance license renewals, and assisting Financial Advisors with obtaining insurance related CE requirements. Assist with various securities registration functions as well as maintain registration manuals, logs, and reports.

Essential Duties and Responsibilities:

• Submit securities registration updates through the FINRA Gateway system.
• Submit SEC registration updates through the EDGAR system.
• Partner with Legal, Compliance and employees to address any concerns with registration or licensing.
• Monitor assigned filings and ensure all documents are complete and filed within stated deadlines.
• Maintain all registration and licensing records and logs.
• Other duties as assigned.
• Prepare, submit and file all state insurance applications and other necessary documentation for the firm and its registered agents.
• Participate in responses to certain request from regulatory agencies and state Departments of Insurance.

Qualifications:

• Proficient in Microsoft Office Suite (Word, PowerPoint, Excel, OneNote, etc.)
• Ability to influence and drive organizational change.
• Exceptional attention to detail and highly organized
• Excellent communications and critical thinking skills.
• Understanding of FINRA Gateway/Central Registration Depository (CRD) system, NFA Online Registration System, and/or SEC’s Electronic Data Gathering, Analysis and Retrieval (EDGAR) system preferred.
• Demonstrated ability to build trust-based relationships with employees and managers at all levels, including executives.
• Ability for limited travel, as needed.

Education and/or Work Experience:

• N/A
• Associate degree and/or equivalent work experience
• License/Registrations:
• 3+ years of experience in securities, insurance, investment advisory, and/or commodity licensing rules and regulations preferred.

About Benjamin F. Edwards & Co.

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $30 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status. Benjamin F. Edwards is an Equal Opportunity Employer.

#LI-Onsite

Job Type: Full-time

Weekly day range:

• Monday to Friday

Work setting:

• In-person

Work Location: In person