Licensing & Registration Analyst
The L&R Analyst is responsible for registering new representatives with the firm, providing support to maintain current registrations, and timely filing of registrations events. An L&R Analyst is also responsible for properly reporting CRD disclosures and events. This person reports to the Licensing & Registration Manager.
To perform this job successfully, individual must be able to perform each essential duty satisfactorily.
- Process Preliminary Paperwork and conduct background reviews
- File initial Form U-4
- Amend and File Form U-4
- Process Fingerprint Submissions
- Process Non-Registered Person Profile
- Amend and File Form BR
- Amend and File Form U-4 (State Registrations, Exam Requests, Financial Disclosures)
- Input Rep & Branch Information in AdvisorComplete Rep Maintenance
- Complete Input, Termination, & Change Documents to various Kestra Departments
- Prepare and File Form U-5
- Update Rep & Branch Information in AdvisorComplete Rep Maintenance
- Complete Invoices: Invoicing and Bill, Accounting Reporting
- Handle Regulatory Inquiries regarding Form U-4 and Form U-5 Disclosures
- Confirm Registration status updates with State and Federal Regulators
- Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork
- Ability to handle confidential information with discretion
- Other Duties as Assigned
- Ability to follow written and oral instructions
- Individual must also possess good analytical skills, problem solving skills, and good communication skills, both verbal and written
- Attention to detail
- Professional demeanor with ability to work with all levels of staff
- Ability to prioritize multiple tasks effectively
- Software knowledge of MS Word, Excel, Outlook, and SharePoint
- May be required to work overtime as necessary
- High school diploma required
- College degree preferred
- 1-3 years in the financial services industry preferred
- Series 7 or 6 preferred.
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.