Securities Onboarding Coordinator

<strong>We&rsquo;re motivated by the fact that educators take care of our children&rsquo;s future, and we believe they deserve someone to look after theirs. We help educators identify their financial goals and develop plans to achieve them. This includes insurance to protect what they have today and financial products to help them prepare for their future.</strong>

Springfield, IL

Horace Mann

<p><strong>Horace Mann was founded in 1945 by two Springfield, Illinois, teachers who saw a need for quality, affordable auto insurance for teachers. Since then, we&rsquo;ve broadened our mission to helping all educators protect what they have today and prepare for a successful tomorrow.&nbsp; And with our broadened mission has come corporate growth:&nbsp; We serve more than 4,100 school districts nationwide, we&rsquo;re publicly traded on the New York Stock Exchange (symbol: HMN) and we have more than $12 billion in assets.</strong></p> <p><strong>We&rsquo;re motivated by the fact that educators take care of our children&rsquo;s future, and we believe they deserve someone to look after theirs.&nbsp; We help educators identify their financial goals and develop plans to achieve them.&nbsp; This includes insurance to protect what they have today and financial products to help them prepare for their future. Our tailored offerings include special rates and benefits for educators.</strong></p> https://recruiting.adp.com/srccar/public/RTI.home?d=ExternalCareerSite&c=1138841#/

keywords: summary,management,communication,support,reporting,education,experience,analysis,communication,certification,professional

Full-Time

Overview: The responsibility of the Operations Principal 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. <div id="gtx-trans" style="position: absolute; left: -93px; top: 26.7639px;">&nbsp;</div>
Responsibilities: <ul> <li>Work with current registered representatives regarding any regulatory updates, including proper reporting of regulatory disclosures</li> <li>Maintain registration updates on databases and systems within the Broker-Dealer, with accuracy</li> <li>Work closely with the field, management, and various HMEC divisions to coordinate securities registration and insurance licensing</li> <li>Assist with operational responsibilities, opening new firm accounts, and database maintenance within the Wealth Management Solutions &nbsp; platform</li> <li>Communicate with registered representatives and investment advisor representatives on various operational inquiries</li> </ul>
Requirements: <ul> <li>Licensing Requirements: FINRA Series 6 (or Series 7) and Series 26 (or 24) required within 6 month</li> <li>College Degree or equivalent experience required</li> <li>Prior experience in a broker dealer, registered investment adviser or financial services preferred</li> <li>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</li> <li>Ability to handle confidential information with discretion and professionalism</li> <li>Strong analytical skills with attention to detail</li> <li>Strong verbal and written communication skill</li> </ul>