Securities Onboarding Coordinator

This position will be hybrid out of the Springfield, IL or Cherry Hill, NJ location. It is not a remote position.

The responsibility of the Securities Onboarding Coordinator is to ensure that appropriate steps are taken for proper individual registrations on the state and federal level to prevent the sale, service, and solicitation of securities products by an unregistered individual. Other responsibilities include:

• Work with current registered representatives regarding any regulatory updates, including proper reporting of regulatory disclosures
• Maintain registration updates on databases and systems within the Broker Dealer, with accuracy
• Work closely with the field, management and various HMEC divisions to coordinate securities registration and insurance licensing
• Assist with operational responsibilities, opening new firm accounts and database maintenance within the Wealth Management Solutions platform
• Communicate with registered representatives and investment advisor representatives on various operational inquiries

Job Requirements: 

• Licensing Requirements: FINRA Series 6 (or Series 7) and Series 26 (or 24) required within 12 months of hire.
• College Degree or equivalent experience required
• Prior experience in a broker dealer, registered investment adviser or financial services preferred
• Ability to file Form U4, U5 and NRF regulatory filings and amendments on the FINRA system, in an independent and timely manner for all HMII registered representatives
• Ability to handle confidential information with discretion and professionalism
• Strong analytical skills with attention to detail
• Strong verbal and written communication skill

Pay Range:

$53,200.00 - $78,550.00  

Salary is commensurate to experience, location, etc.

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