Licensing/Registration Compliance Analyst

Licensing/Registration Compliance Analyst

At Equitable, our power is in our people.

We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with dynamic individuals, build your skills, and unleash new ways of working and thinking. Are you ready to join an organization that will help unlock your potential?

The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Compliance Team and enjoy working for a leading financial company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is based in our Charlotte, NC office.

The Licensing/Registration Compliance Analyst will work within the Equitable Distributors (EDL) Compliance team, which is a part of Equitable’s Legal and Compliance organization. This team member is responsible for the processing, monitoring, and maintenance of insurance licensing/appointments and FINRA Registration for all EDL licensed and registered personnel.

As a key member of the team your responsibilities would include, but are not limited to:

• Processing, monitoring, and maintenance of insurance licensing/appointments and FINRA registration for all licensed and registered personnel.
• Conducting pre-hire reviews of new hire candidates.
• On-boarding new hires that include insurance licensing and FINRA registrations.
• Monthly updates to licensing and registration related to territory changes, internal transfers, and supervisory changes.
• Maintaining electronic files related to licensing and registration.
• Processing monthly licensing/registration costs and chargebacks to relative cost centers.
• Maintaining supervisory organization chart/roster.

The ideal candidate would demonstrate knowledge of:

• State insurance licensing and appointment requirements and processes.
• FINRA registration requirements and processes.
• Experience in working with SIRCON, NIPR and Web-CRD (FINRA Gateway).

In Office Schedule: This team member will work in office 2 days per week.

If you are ready for this exciting challenge, don’t hesitate and apply today!

The base salary range for this position is $55,000-$65,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

Equitable Pay and Benefits: Equitable Total Rewards Program

Required Qualifications:

• 3 years working in a position focused on insurance licensing/appointments and FINRA registration processing.
• Flexibility and willingness to respond to unanticipated issues and constantly reprioritize based on business demands.
• Ability to work independently and meet deadlines while handling multiple tasks with minimal supervision.

Preferred Qualifications:

• Self-motivated with established time management skills.
• Ability to both “think on your feet” and think creatively.
• Professional, energetic, team-player with outgoing personality and positive attitude and outlook.

Skills

Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.

Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.

Document Management: Knowledge of document management; ability to categorize, integrate, update, document and distribute business information in a secure, effective way.

Effective Communication: Understand effective communication concepts, tools and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

Insurance Legal and Regulatory Environment: Knowledge of federal, state and local laws and regulations; ability to comply with these laws and regulations in insurance industry practices and activities.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

ABOUT EQUITABLE

At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

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Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitable participates in the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.