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COUNTRY Financial® · 1 month ago

Securities Operations Administrator

Bloomington, IL

Full-time

Hybrid

Entry, Mid Level

$54K/yr - $74K/yr

2+ years exp

COUNTRY Financial is a company dedicated to enriching lives in the communities it serves. The Securities Operations Administrator will analyze and approve new business for the Broker-Dealer, provide guidance on securities sales, and manage recurring tasks related to FINRA registration and account processes.

Insurance

Responsibilities

Lead candidates through Financial Advisor training curriculum, tracking progress and providing guidance with regard to securities registration processes

Analyze and Approve New Business for the Broker-Dealer to determine suitability and regulatory requirements based on the purchased investment product

Provide direction and support to representatives on the sales of securities and answer questions about investment products offered through COUNTRY Capital Management Company (CCMC)

Develop and improve processes including but not limited to compliance, reconciliation, reporting, marketing, communication, and the creation of training materials for internal sites and company publications

Investigate and resolve account discrepancies and escalations, ensuring accuracy and compliance with regulatory standards

Qualification

FINRA registrationsSecurities Industry EssentialsInvestment Company RepresentativeMunicipal Securities PrincipalCompliance processesClient supportTraining materials developmentAccount onboarding

Required

Typically requires 2+ years of relevant experience or a combination of related experience, education and training

Must obtain the following Financial Industry Regulatory Authority (FINRA) (or equivalent) registrations within 90 days of hire: SIE: Securities Industry Essentials

Must obtain the following FINRA (or equivalent) registrations within 90 days of hire: Series 6: Investment Company/Variable Contracts Limited Representative

Must obtain the following FINRA (or equivalent) registrations within 90 days of hire: Series 63: Uniform State Securities Registrations

Must obtain the following FINRA (or equivalent) registrations within 120 days of hire: Series 26: Investment Company/Variable Contracts Limited Principal

Must obtain the following FINRA (or equivalent) registrations within 180 days of hire: Series 51: Municipal Securities Limited Principal