[Remote] Licensing Specialist

Note: The job is a remote job and is open to candidates in USA. Voya Financial is dedicated to providing everyone with opportunities for a better financial future. They are seeking a Licensing Specialist to manage the licensing and registration processes for new representatives, ensure compliance with FINRA regulations, and maintain communication with internal and external partners.

Responsibilities

• Process new U4's with FINRA for new reps that are onboarding with Voya Financial Advisors, Voya Financial Partners, or Voya Investments Distributor
• Process U4 amendments including State Securities Registration, Branch Addresses, Home Addresses, Outside Business Activities, Advisory Applications and other U4 items
• Assist with all Broker Dealer maintenance, including but not limited to Continuing Ed, reviewing reports, insurance carrier appointments, bill pay, corporate insurance licenses, email operations, etc
• Process U5's for reps that are terminating
• Process Renewals
• Email and communicate with reps directly as needed to assist with these processes
• Closely align with the recruiting organization and broker dealer operations teams to successfully onboard and transition into the firm
• Serve as a content owner related to process and policy documentation; including Licensing and Registration owned Written Supervisory Procedures
• Serve as a point of contact for internal and external business partners surrounding existing policies and procedures
• Manage the update and removal of reference material, forms, and other documents presented to the financial professionals, state regulators, and internal business partners
• Other duties as assigned

Skills

• Business experience in financial services preferably in FINRA licensing & registration
• Strong written and verbal communications skills with ability to influence and direct peers and business partners
• Ability to identify opportunities to enhance operational platforms and systems
• Technical aptitude and ability to learn how systems work/integrate with one another in order to identify opportunities to streamline processes
• Strong organization and execution skills while being involved in multiple initiatives
• Demonstrated analytical skills
• Knowledge and understanding of Microsoft Suite; including Excel and PowerPoint. MS Access a plus
• Ability to independently work in a remote environment while hitting short- and long-term initiatives
• Bachelor's degree or equivalent experience
• Prior knowledge and experience with FINPRO, NIPR, RegEd, Salesforce, BIG, and HIRERIGHT
• FINRA series 6 or 7 preferred or a willingness to obtain upon hire

Benefits

• Health, dental, vision and life insurance plans
• 401(k) Savings plan – with generous company matching contributions (up to 6%)
• Voya Retirement Plan – employer paid cash balance retirement plan (4%)
• Tuition reimbursement up to $5,250/year
• Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
• Paid volunteer time — 40 hours per calendar year

Company Overview

Company H1B Sponsorship