The Licensing and Operations Associate for Copper Financial Network, LLC (“Copper”), a dually registered broker-dealer and registered investment adviser, strives to provide a high level of prompt and accurate service to all internal and external clients and stakeholders.  The position is responsible for all licensing activities for associated persons and the firm, including FINRA securities and RIA filings through CRD and IARD, insurance producer and agency licensing, outside carrier appointments, and foreign LLC filings and payments with each state as needed.  Additionally, this position is responsible for maintaining certain required regulatory books and records. 

• Facilitate onboarding, termination and ongoing maintenance for associated persons including but not limited to FINRA CRD filings for individuals, onboarding paperwork, insurance licensing, carrier appointments, and book of business maintenance.
• Facilitate necessary filings for changes related to the firm’s status as a broker-dealer, RIA, and insurance agency through FINRA CRD and IARD, and applicable insurance licensing sites.
• Conduct annual audits of insurance licensing, FINRA registrations, and carrier appointments ensuring appropriate alignment with where business is conducted.
• Review and facilitate account reassignments to ensure proper licensing is obtained and all carrier rep assignments are updated as required.
• Facilitate necessary annual filings and payments as required by secretaries of state for Copper to do business in each state and manage InCorp registered agent responsibilities.
• Quickly and accurately identify representative licensing and related operational needs and share the appropriate resolution to their cases, questions and issues adhering to SLAs.
• Routine reporting to ensure complete data validation and reconciliation of internal systems for consistency of data and processes.
• Routine reporting for the business such as mailing lists, book of business reports, account detail reports, etc., as needed.
• Track and research issues or needs related to licensing, registration and appointment status and ensure prompt issue resolution.
• Handling of books and records communications (e.g., new account 30-day letters, address change letters, rep change letters, etc.) as per regulatory requirements, as well as customer information updates and communications, adhering to internal SLAs.
• Responsible for incoming and outgoing mail for department, including research and re-sending of returned mail.
• New Branch and Rep ID creation and maintenance for business at Apex Clearing.
• Provide support to Operations team as staffing needs require. Responsible for competency in all operational pursuits to be a resource on any topics involving operational issues.
• Special projects to satisfy leadership requests and business needs.
• Participate in user acceptance testing for Operations and Licensing enhancements as requested by the Operations Manager.
• Serve as a liaison between Copper, clearing firm and other product and service providers.
• Promote honest and open communication throughout Copper.
• Demonstrate behaviors that are consistent with the organization’s values, philosophies, and leadership characteristics.
• Perform other duties as assigned.

Education and Experience Requirements:

• Associates degree or higher preferred in business administration or related field.
• One year experience in the financial services industry, preferably in broker-dealer licensing or operations.  
• FINRA SIE (Securities Industry Essentials), Series 7, and Series 66 preferred (may be obtained during employment).

Required Knowledge, Skills and Abilities:

• Detailed oriented and organized with strong follow-up and follow-through.
• Strong analytical abilities with good business judgement are essential.
• Strong interpersonal skills to include oral and written communication.
• Able to manage multiple requests simultaneously and meet client, advisor, carrier, or back-office imposed deadlines.
• Remain flexible in an environment where a variety of tasks are required and be able to assess and prioritize effectively to accommodate new requests throughout the day.
• Self-starter with the ability to identify and complete tasks with minimal oversight.
• Service oriented mindset when addressing problems or disputes with a focus on collection of appropriate information, development of action plans and communication of workable solutions.
• Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions; must be able to deal with abstract and concrete variables.
• Willingness to take ownership of issues and ability to discern which problems warrant escalation to management.
• Working knowledge of Microsoft Excel and Word required.
• Working knowledge of FINRA Gateway and NIPR (National Insurance Producers Registry) preferred.
• Experience with CRM (e.g., Salesforce), and broker-dealer or insurance back-office systems preferred.
• Demonstrated flexibility and the ability to work as a member of a team.
• Ability to resolve interpersonal conflict and miscommunications.
• Working knowledge of investment products and services including insurance, annuity, securities, and advisory products preferred.
• Remain agile by quickly modifying daily behavior, leveraging resources and technology, and adapting processes to effectively embrace change.
• Patience, empathy and tact, confidentiality, initiative, ability to work in dynamic and fast-moving situations, friendly, outgoing, and professional personality, and ability to be flexible with work related assignments.
• Must be able to be bonded.