What are the responsibilities and job description for the Licensing & Registration Analyst position at Kestra Financial?
ABOUT US:
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
This position is responsible for registering new representatives with the firm, providing support to maintain current registrations, and timely filing of registration events. This position is also responsible for properly reporting CRD disclosures and events.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.
EDUCATION AND/OR EXPERIENCE:
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
BENEFITS:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
This position is responsible for registering new representatives with the firm, providing support to maintain current registrations, and timely filing of registration events. This position is also responsible for properly reporting CRD disclosures and events.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, an 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 a non-registered associate person profile.
- Amend and file Form BR.
- Amend and file Form U-4 (state registrations, exam requests, financial disclosures).
- Input/update 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 billing, 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.
- Ability to follow written and oral instructions.
- An individual must also possess good analytical skills, problem-solving skills, and good communication skills, both verbal and written.
- Attention to detail.
- Professional demeanor with the 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.
EDUCATION AND/OR EXPERIENCE:
- High school diploma required.
- College degree preferred.
- 1-3 years in the financial services industry preferred.
- Series 7 preferred.
- Series 6 preferred.
- Work from home position requires a quiet work environment with limited distractions.
- Ability to sit at a computer for extended periods of time.
- Online presence.
- Ability to maintain concentration/focus on tasks.
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
BENEFITS:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
- You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
- It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.
