Note: The job is a remote job and is open to candidates in USA. Voya Financial is dedicated to providing everyone with opportunities for a better financial future. They are seeking a Licensing Specialist to manage the licensing and registration processes for new representatives, ensure compliance with FINRA regulations, and maintain communication with internal and external partners.
Responsibilities
- 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
Skills
- 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
- Ability to independently work in a remote environment while hitting short- and long-term initiatives
- Bachelor's degree or equivalent experience
- Prior knowledge and experience with FINPRO, NIPR, RegEd, Salesforce, BIG, and HIRERIGHT
- FINRA series 6 or 7 preferred or a willingness to obtain upon hire
Benefits
- Health, dental, vision and life insurance plans
- 401(k) Savings plan – with generous company matching contributions (up to 6%)
- Voya Retirement Plan – employer paid cash balance retirement plan (4%)
- Tuition reimbursement up to $5,250/year
- Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
- Paid volunteer time — 40 hours per calendar year
Company Overview
- Voya Financial is a financial services company that specializes in the fields of retirement, investments, and insurance. It was founded in 1991, and is headquartered in Atlanta, Georgia, USA, with a workforce of 10001+ employees. Its website is https://www.voya.com/.
Company H1B Sponsorship
- Voya Financial has a track record of offering H1B sponsorships, with 1 in 2025, 4 in 2024, 2 in 2023, 1 in 2022, 5 in 2021, 1 in 2020. Please note that this does not guarantee sponsorship for this specific role.