FINRA Licensing & Registration Specialist

Location: 4900 Tiedeman Road, Brooklyn Ohio Support the functional activities of the Compliance Department, primarily the day-to-day processing of the securities registration, and insurance licensing/appointment processes for securities and insurance representatives of Key Investment Services LLC (KIS) and KeyCorp Insurance Agency USA Inc. (KIA). ESSENTIAL JOB FUNCTIONS • 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. REQUIRED 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 COMPETENCIES/SKILLS Business Acumen – Knows how businesses work; knowledgeable in current and possible future policies, practices, trends, and information affecting his/her business and organization; knows the competition; is aware of how strategies and tactics work in the marketplace. Drives for Results - Can be counted on to exceed goals successfully; is consistently a solid performer, is very bottom line oriented; steadfastly pushes self and others for results; demonstrates personal accountability for achieving results within established timelines and budget parameters; pursues work with energy, drive and focus. Effective Collaboration - Identifies and involves the right stakeholders to make decisions and maximize results; readily shares information, knowledge, best practices, and ideas with teammates; leverages opportunities and capabilities across the team to accomplish goals; attentive and active listener; has the patience to hear people out; can accurately restate the opinion of others even when he/she disagrees. Informing - Provides the information people need to know to do their jobs and to feel good about being a member of the team, unit, and/or the organization; provides individuals information so that they can make accurate decisions; is timely with information. Organizing - Can marshal resources (people, funding, material, support) to get things done; can orchestrate multiple activities at once to accomplish a goal; uses resources effectively and efficiently; arranges information and files in a useful manner.

This position is eligible to earn a base hourly rate in the range of