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Posted by: First Command Financial Services on Nov 09, 2021


Fort Worth , TX

Job Description:

How will your role impact First Command?

One of First Command's strategic priorities is to grow our number of selling Advisors so we may continue to "Coach those who serve in their pursuit of financial security." The Licensing & Registration department plays a critical operational role in effectively and efficiently converting individuals into First Command Advisors. The Licensing Coordinator (LC) is responsible for ensuring that all Potential Advisors (PAs), Licensed Associates (LAs), Associate Financial Advisors (AFAs), and Fast Start Advisors (FSA) have all FINRA, State, and regulatory required licenses, registrations, and appointments in place so they can serve our First Command clients. This includes all individuals in the United States, Guam, Germany, and England. The Licensing Coordinator partners with the District Advisors, Office Managers, and other field leadership by providing the status of individual exams, licensing, registrations, appointments and any concerns that may arise in order to determine the best course of action for the potential advisor(s). The Licensing Coordinator communicates and provides guidance to the potential advisors from the time they sign the Advisor Trainee Commitment Letter, take all regulatory and state exams, begin the Fast Start Program, and become certified to sell at the Fast Start Academy.

What will you be doing?

Process the day-to-day support of Securities Registration and Insurance Licensing. Serves as a Licensing liaison to Compliance. Supports the management team in monitoring the status of all registered individuals to ensure compliant with regulatory requirements. Ensures paperwork is in order prior to activation of all statuses requiring an Agreement (i.e.; FSA, LA, AFA, etc.). Manage the process of obtaining financial advisor resident state licenses and non-resident licensing (when applicable) using a working knowledge of rules, regulations, and paperwork requirements for each state. (Inappropriate management could result in fines to First Command.) Manage the process of obtaining insurance carrier appointments per state for all onboarding Advisors, which is a mandatory requirement prior to an advisor being certified to sell. Administer initial and subsequent amendment U4 (Uniform Application for Securities Industry Registration or Transfer) processes for all onboarding Fast Start Advisors. Performs quality checks for each application and resolves any potential issues with the AT. Work with FINRA to process all outstanding FINRA registration Work with all state insurance departments related to licensing requests. Runs reports as needed, to assist divisional management in monitoring the current AT pipeline with regard to exams, registration and licensing status for upcoming activations. Assists with Outside Business Activity (OBA) reporting.
What skills/qualifications do you need?

Bachelor's degree or the equivalent combination of education and experience required

Work Experience
2 years Customer Service required 1 year of experience/knowledge in the Securities Registration and Insurance Licensing processes preferred Administrative skills/experience required

Knowledge, Skills and Abilities

Proven experience in a professional and service-oriented environment. Outstanding written and verbal communication skills. Ability to use independent judgment and be entrusted with confidential information. Rapidly solve problems, recognize potential issues, and make decisions as quickly as possible while obtaining and maintaining all required regulatory standards. Strong attention to detail and accuracy. Ability to work well under pressure and within deadlines. Ability to work well with others, both in the home office and with our field force. Strong organizational skills. Collaborative problem-solving skills. Knowledge of RegEd licensing system a plus. Advanced computer skills and proficiency in Microsoft Office applications and AS400.



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About First Command Financial Services

Founded in 1958 with a mission to improve the well-being of America's military families, First Command Financial Services, Inc. today serves clients from all walks of life. A Registered Investment Advisor firm, First Command develops and delivers comprehensive financial plans to assist American families in their efforts to build wealth, reduce debt, and pursue their lifetime financial goals and dreams. We embrace time-tested financial principles and a client-first philosophy, advocating a disciplined, long-term approach to saving and investing while providing exceptional personal service.

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