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 monthly reports 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 WILL YOU NEED? 

EDUCATION

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

WORK EXPERIENCE

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

WHAT YOU SHOULD KNOW: 

Headquartered in Fort Worth, Texas, First Command Financial Services takes pride in their mission: Coaching those who serve in their pursuit of financial security. In addition, we are fully committed to living out our core values of: Love, Courage, and Effectiveness. 

Touted by Texas Monthly and Best Places to Work as one of the top 100 best places to work in Texas for 2016 and 2018, First Command Financial Services opened its doors in 1958 and has grown to include a network of Advisors in more than 162 markets throughout the U.S., England, and Germany today. We are seeking talented individuals of diverse backgrounds who are service minded. First Command offers a comprehensive benefits package to full-time employees, including: 

• Medical
• Dental
• Vision
• 401K and Employee Stock Ownership Programs
• Tuition reimbursement
• Flexible spending accounts
• Employer health Fund Contributions
• On-Site Fitness Center
• On-site Concierge Services
• Covered Parking
• Free financial planning for all employees

Disclaimer

The information of this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job, which may vary on the department or the assignment. The actual essential duties, responsibilities and qualifications may vary by department, reporting structure and other business needs. No inference should be drawn that a specific job duty, responsibility or qualification is non-essential by its absence from this description.

Required Skills Required Experience

QUALIFICATIONS

• Must understand the sales cycle; ability to understand the Radwell International sales cycle
• Strong computer skills; ability to learn and understand Radwell computer systems to perform job tasks in an automated environment

KNOWLEDGE & SKILLS REQUIRED

• Strong Computer proficiency
• Proficiency using e-mail, the internet, Microsoft Office, and other computer tools
• Ability to multi-task
• Ability to work at fast pace
• Attention to detail
• Problem solving abilities
• Good communication skills
• Ability to sell 
• Attention to detail
• Problem solving abilities
• Good communication skills
• Ability to sell