Senior Licensing & Registration Specialist

Senior Licensing & Registration Specialist page is loaded## Senior Licensing & Registration Specialist locations:
Saint Paul, MN:
Minneapolis, MNtime type:
Full time posted on:
Posted Yesterday time left to apply:
End Date:
March 6, 2026 (9 days left to apply) job requisition :
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career.

Try new things, learn new skills and discover what you excel at—all from Day One.##
** Job Description**## Position Summary The Senior Licensing & Registration Specialist is responsible for managing regulatory licensing and registration activities and ensuring full compliance with federal and state requirements. This role supports broker-dealers, advisors, and associated personnel by overseeing the end-to-end licensing and registration lifecycle, maintaining audit-ready records, and monitoring regulatory changes.##

Key Responsibilities
• Provide comprehensive licensing and registration support for advisors and associated personnel.
• Ensure ongoing compliance with federal and state securities and insurance regulations.
• Review regulatory rules and notifications and update policies, procedures, and desk guides accordingly.
• Interface with insurance carriers, BGAs, and advisors to resolve licensing, appointment, and product-related issues.
• Serve as a team leader by supporting and overseeing projects and initiatives.
• Maintain accurate internal regulatory records and audit-ready documentation.
• Monitor and communicate changes in state and federal regulatory requirements.
• Assist with regulatory exams, internal audits, and compliance inquiries.
• Track and report key licensing and registration metrics.
• Support policy development and process enhancements.
** Basic Qualifications**  - Bachelor's degree, or equivalent work experience  - Typically more than six years of applicable experience
** Preferred Skills/Experience
*** Strong organizational skills with exceptional attention to detail.
* • Proven ability to manage multiple deadlines in a fast-paced environment.
* • Excellent written and verbal communication skills.
* • Proficiency with Microsoft Office Suite, including Excel.
* • Experience with broker-dealer or investment adviser registration and licensing.
* • Working knowledge of FINRA Gateway, CRD, IARD, and state insurance portals.
* • Familiarity with U4/U5 filings, insurance licenses, and carrier appointments.
* • Experience supporting audits or regulatory exams.
* • Relevant licenses or certifications (Series 6/63, insurance license, or compliance designations).## Core Competencies
• Proactive, Self-Motivated, & Highly Organized
• Regulatory Accuracy & Attention to Detail
• Time Management & Deadline Execution
• Confidentiality & Professional Discretion
• Problem Solving & Process Improvement
• Cross-Functional Collaboration
• Customer Service Mindset
** Location expectations
** This role requires working from a U.S. Bank location three (3) or more days per week.

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our .
** Benefits:
** Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
* Healthcare (medical, dental, vision)
* Basic term and optional term life insurance
* Short-term and long-term disability
* Pregnancy disability and parental leave
* 401(k) and employer-funded retirement plan
* Paid vacation (from two to five weeks depending on salary grade and tenure)
* Up to 11 paid holiday opportunities
* Adoption assistance
* Sick and Safe Leave accruals…