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SUMMARY: Responsible for processing complex producer/agent/broker/corporate applications, registrations, contracting, appointment renewals and cancellations, and/or maintenance requests, while adhering to state, federal, and internal compliance regulations. Reviews, analyzes and interprets licensing laws and regulations. May serve as lead and/or subject matter expert to other licensing associates.
RELATIONSHIP: Reports to Manager/Supervisor
1. Reviews and processes moderately complex applications, registrations, contracts, and/or appointments and maintenance requests consistent with approved standards and practices accurately and in a timely manner. Orders and reviews producer/agency background information. Approves or escalates for additional review based on internal guidelines.
2. Implements customary changes in insurance licensing requirements based on changes in laws, regulations, or company policies. Maintains and updates regulatory related information, files. Enters information in multiple internal and external systems and databases.
3. Maintains database's and related background information and files for assigned states, operation, and/or distribution channel.
4. Updates and distributes licensing/appointment requirements and procedures manuals.
5. Receives incoming calls and requests from internal and external customers, and responds in a manner that provides an On Your Side experience. Advises and educates customers on the licensing requirements and registration process, furnishing materials, and submitting forms and fees to state department of insurance and/or other regulatory agencies. Maintains records of all conversations. May process credit card transactions for all registration related fees.
6. Reviews, analyzes and interprets licensing laws and regulations. Assists in analyzing problems, not in good order issues and formulating solutions. Partners with other teams (General Counsel, Compliance, Commissions, Suitability, etc) to resolve issues.
7. Serves as primary liaison between licensing and key internal and external customers in regard to license issues. Builds and maintains business relationships with field partners and strategic relationships to facilitate appointment, licensing, and/or registration processing.
8. May act as a subject matter expert for other team members and *** employees, and on projects.
9. Performs other duties as assigned.
Education: High school diploma or undergraduate studies. Industry related coursework preferred
License/Certifications: Depending on business unit supported, may be required to be fingerprinted, pass an FBI background check and be associated with *** Securities, LLC as a non-registered individual if not already Client registered. Progress towards completion of designations such as SILA Certification is desirable.
Experience: Typically 4-5 years of licensing or related industry experience in licensing, registration, or in a technical position with the SEC, IRS, state insurance department, or compliance.
Knowledge: Developing knowledge of procedures related to license processing and regulatory requirements. Understands licensing terminology.
Skills/Competencies: Ability to effectively operate personal computer with related business and licensing software. Oral and written communication skills for contact with agents, brokers, management, field sales and regulatory agencies. Ability in analyze and interpret licensing regulations.
Values: Regularly and consistently demonstrates the *** Values and Guiding Behaviors.
Overtime Eligibility: Eligible (nonexempt)
Working Conditions: Normal office environment. Travel may be required.
ADA: The above statements cover what are generally believed to be principal and essential functions of this job. Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties.
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