Great-West Financial Empower Retirement

  • Registration and Insurance Licensing Coordinator

    Location US-CO-Denver (DTC)
    Posted Date 1 month ago(3/20/2018 2:57 PM)
    Job ID
    15461
    # Positions
    1
    Category
    Hidden (14067)
  • Position Highlights

    Great-West’s Legal and Compliance department is seeking a dynamic, energetic, and highly motivated individual who has experience working in a regulated and process driven environment.  The right candidate will provide support to the Compliance department, which is responsible for the oversight of compliance with SEC/FINRA requirements applicable to affiliate broker dealer and investment advisory firms.  This position is also part of the Compliance Support team which is responsible for facilitating, obtaining and maintaining the securities, investment advisory and other licenses and registrations for the Firm, its employees and branch offices.  The candidate must be able to work on a variety of assignments and have the flexibility to switch gears based on changing priorities and deadlines and is adept at working with multiple systems.

    Primary Responsibilities

    • Responsible for filing, maintaining and updating required FINRA registration forms; Forms U4 and U5, Amendments to Form U4 and U5 including required disclosures, Initial NRF filings, and other firm regulatory filings as assigned.
    • Responding to or providing guidance on FINRA, state and other inquiries related to licensing, registration and disclosure matters. 
    • Responsible for administration of internal and external registration and insurance licensing systems, including FINRA WebCRD, IARD, SIRCON and other internal corporate systems. 
    • Assist with applying, developing and implementing procedures, practices and controls related to licensing and registration and other areas of responsibility.
    • Responsible for the input, tracking and management of data in various systems and databases with the ability to compile and analyze the data for preparing reports and communications related to registration, insurance licensing and other regulatory requirements including OFAC (Office of Foreign Assets Control) and FinCEN (Financial Crimes Enforcement Network).
    • Collaborating with other Legal/Compliance team members as well as Human Resource colleagues and various business areas to review and ensure appropriate, accurate and timely regulatory, disclosure and other filings.
    • Coordinate document management and onsite facilitation of regulatory inspections and audits.
    • Assist with planning, developing and implementing projects of some complexity.
    • Other duties as assigned

    #LI-ME1

    Qualifications

    • Associate's Degree or equivalent work experience directly related to job position.
    • 2 to 3 years of experience working with teams responsible for the administration of compliance programs for institutional investment advisor compliance and FINRA securities registration and insurance licensing processing preferred.  
    • Strong knowledge of FINRA WebCRD, Sircon, NIPR, and other financial industry registration and state insurance systems preferred. 
    • Advanced Microsoft programs skills required and experience working with SAP applications preferred.
    • Strong knowledge of licensing and registration rules, interpretative guidance and regulatory expectations preferred.
    • Strong attention to detail as well as organizational, planning and time management skills with proven ability to meet critical, regulator imposed deadlines. 
    • Ability to identify priorities within assignments and ability to shift between competing deadlines without negative impact to quality and efficiency in work performance.
    • Strong interpersonal and communication skills with proven ability to interact with all levels of firm management.
    • Strong analytical and problem solving skills; ability to exercise sound judgment. 
    • Proven ability to practically apply knowledge to daily operations and assist with development of procedures, practices and systems. 
    • Excellent oral and written communication skills. 
    • Strong critical and imaginative thinking skills.
    • A strong sense of accountability with a drive for results.
    • Ability to work independently and as part of a team.

    Working Conditions / Physical Requirements:

    Normal Office Working Conditions

    Disclaimer:  The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this job.  They are not intended to be an exhaustive list of responsibilities, duties and skills.

    About Great-West Financial

    At Great-West Financial® and Empower Retirement, our more than 5,700 global associates are dedicated to helping customers secure their financial futures. We offer a range of retirement savings products, life insurance, annuities and investment services from offices across the country. If you’re interested in joining a company that enjoys a record of strong performance and is rich in history yet innovative, bold and transformative, then our organization is an outstanding place for you to grow and succeed. We’re an equal opportunity employer dedicated to workforce diversity. We’re also committed to providing a drug-free workplace.

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