Licensing & Registration Specialist II

Job Overview

We’re looking for a Licensing & Registration Specialist II to support regulatory licensing, registration, appointment, and compliance activities for associated persons and firm entities. Initially focused on insurance licensing and carrier appointment administration, the role will also provide opportunities to expand into securities registration, regulatory reporting, onboarding, compliance support, process improvement initiatives, and additional operational functions as business needs evolve.

• Assume end‑to‑end ownership of licensing, registration, and appointment processes, ensuring timely and accurate execution from initiation through completion.
• Identify process gaps, risks, bottlenecks, and compliance concerns; implement corrective actions and monitor downstream impacts.
• Serve as the primary point of accountability, escalating issues only when necessary with recommended solutions.
• Develop and maintain process documentation, controls, and procedure enhancements to support operational efficiency and regulatory compliance.
• Partner with cross‑functional stakeholders to resolve complex issues while maintaining service‑level expectations and regulatory standards.
• Manage insurance licensing activities, including applications, renewals, amendments, and terminations for producers and entities.
• Coordinate carrier appointment requests, renewals, transfers, and terminations while maintaining compliance with carrier and state requirements.
• Monitor continuing‑education and license‑renewal requirements to support timely compliance.
• Act as a liaison between insurance carriers, BGAs, advisors, and internal business partners to resolve licensing and appointment issues.
• Ensure compliance with applicable state insurance regulations, firm policies, and regulatory requirements; monitor regulatory updates and communicate impacts to stakeholders.
• Maintain accurate regulatory records and documentation to support audit readiness; support regulatory examinations, compliance reviews, internal audits, and remediation efforts.
• Support onboarding and off‑boarding activities, including licensing, appointments, registrations, and related regulatory filings.
• Maintain licensing, appointment, registration, and demographic data within internal systems; perform quality reviews and data validation activities.
• Track, analyze, and report operational and regulatory metrics.
• Develop a working knowledge of securities registration and licensing processes to support future business needs.
• Participate in process‑improvement initiatives, control enhancements, and departmental projects.
• Assist with procedure development, documentation maintenance, and operational effectiveness initiatives; contribute to special projects as responsibilities evolve.

• Bachelor’s degree or equivalent work experience.
• Typically more than three years of experience in insurance, licensing & registration, compliance, financial services, banking, or a related regulatory environment.

• Independent ownership & accountability.
• End‑to‑end process management.
• Risk identification & mitigation.
• Sound judgment & decision making.
• Process control & operational excellence.
• Initiative and self‑direction.
• Regulatory accuracy & attention to detail.

• Demonstrated ability to work independently with minimal day‑to‑day supervision.
• Proven experience managing complex operational or regulatory processes from initiation through completion.
• Strong decision‑making skills and ability to drive resolution of issues.
• Ability to balance multiple priorities while maintaining accuracy, accountability, and regulatory compliance.
• Strong understanding of insurance licensing processes and regulatory requirements.
• Strong organizational skills and exceptional attention to detail.
• Effective written and verbal communication skills.
• Proficiency in Microsoft Office Suite (Excel, Word, Outlook).
• Experience with a broker‑dealer, registered investment adviser, or insurance licensing and appointments.
• Working knowledge of FINRA Gateway, CRD, IARD, state insurance licensing systems, and carrier appointment platforms.
• Familiarity with advisor…