Job Description
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 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.