Administrative Coordinator (Registration-Licensing)

Job Description Summary

The Registration Administrator will provide administrative support to a national sales force distributing financial service products, with a focus on the mutual fund registrations of applicants. Administer and assist field agents to obtain mutual fund licenses and maintain the accuracy of WFG Securities Inc. registration records.

Responsibilities

• Facilitate and support initial, reactivation, and reinstatement applications for mutual funds licenses.
• Follow-up and document National Registration Database (NRD) submissions, including outside business activity (OBAs), address updates, financial disclosures, etc.
• Enter and record mutual fund registration terminations in the system and notify necessary parties.
• Perform NRD annual renewals.
• Participate in the Annual Disclosure process.
• Update NRD training documentation.
• Update various internal systems.
• Respond t...