Registration Coordinator

Registration Coordinator

Lion Street

Austin, TX

About Lion Street

Lion Street is a high-net-worth and business insurance market authority with expertise in sophisticated life insurance, wealth management and financial planning solutions. Based in Austin, Texas, Lion Street provides its elite network of independent firms and financial planning experts access to the financial products, intellectual capital and specialized resources needed to serve affluent clientele. Lion Street is strongly committed to building a highly collaborative network of financial professionals and is a proud member of the Integrity Family of Companies.

Job Summary

The Registration Coordinator is responsible for servicing new and existing firms with Broker-Dealer and RIA business with high attention to detail.

Primary Responsibilities:

• Provide back-office operational support to firms by phone and email

• Maintain record of registration for individuals, Lion Street Financial and Lion Street Advisors (Firm).

• Maintain Firm E-Bill account with FINRA, including review available funds, processing invoices for payment and reconciling charges.

• File Form U4 & Form BR for representatives associated with the Firm; including state registrations, Disclosure filings, etc.

• Monitor for inquiries from FINRA and State Regulators; help coordinate response

• Maintain record log of all persons associated with the Firm

• Maintain documents for all persons associated with the Firm.

• Conduct background checks for new candidates joining the Firm.

• Lead and assist with projects as needed

• Actively participate in team and firm meetings

• Adhere to and support regulatory mandates

• Maintain confidentiality and preserve the integrity of company records and documents

• Other duties and responsibilities as assigned to support the growth of the Firm and our Owner Firms

Primary Skills & Requirements:

The ideal candidate should possess operations experience in the financial services arena. Knowledge about FINRA and SEC regulated Broker-Dealer/RIA, FINRA Gateway is a plus.

• Ability to work successfully in a team environment

• Exceptional verbal and written communication skills

• Excellent documentation and data entry skills with high attention to detail

• Strong organization and time management skills with the ability to prioritize

• Ability to empathize and build relationships on a personal level

• Advanced technical skills with Microsoft 365 (Word, Excel, PowerPoint, Outlook, etc.)

• Familiarity with scheduling and hosting web based meetings

• Ability to problem-solve and provide creative solutions

• Capable of handling multiple tasks and responsibilities

• Ability to work independently and take initiative while being part of a team

• Proven work ethic with a high level of integrity to build trust with our clients and colleagues

• Demonstration of professionalism, accountability, customer/client focus, and teamwork

• Knowledge of Appointments, Life Insurance, and Annuity products is preferred

• 3 years’ experience in the financial services industry

• College degree preferred

• Series 6 or 7 ideal

About Integrity

Integrity is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are — in person, over the phone or online. Integrity’s employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.