Licensing Specialist

***** Together we fight for everyone’s opportunity for a better financial future.
***** We will do this together — with customers, partners and colleagues. We will fight for others, not against:
We will stand up for and champion everyone’s access to opportunities. The status quo is not good enough ... we believe every individual and every community deserves access to financial opportunities. We are determined to support both individuals and communities in reaching a better financial future.  We know that reaching this future depends on our actions today.

Like our Purpose Statement, Voya believes in being bold and committed to action.  We are committed to a work environment where the differences that we are born with — and those we acquire throughout our lives — are understood, valued and intentionally pursued. We believe that our employees own our culture and have a responsibility to foster an environment where we all feel comfortable bringing our whole selves to work.

Purposefully bringing our differences together to positively influence our culture, serve our clients and enrich our communities is essential to our vision.
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****** Profile

Summary:

** Serve as a Licensing and Registration Specialist in our Broker Dealer Operations.
** Profile

Description:

*** 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.
** Knowledge &

Experience:

*** 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.
* Prior knowledge and experience with FINPRO, NIPR, Reg Ed, Salesforce, BIG, and HIRERIGHT, preferred.
* Ability to independently work in a remote environment while hitting short- and long-term initiatives.
* Bachelor’s degree or equivalent experience
* FINRA series 6 or 7 preferred or a willingness to obtain upon hire.#LI-MG1
**** Compensation Pay Disclosure:
**** Voya is committed to pay that’s fair and equitable, which means comparable pay for comparable roles and responsibilities.

The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and/or long-term incentives) based on the role to reward the achievement of annual performance objectives. Please note that this salary information is solely for candidates hired to perform work within one of these locations,…