Registration and Licensing Consultant

Job Summary

We are seeking a knowledgeable and service‑driven Registration & Licensing Consultant to support our financial professionals throughout all phases of their affiliation with the firm.

• Consult on all aspects of FINRA, state, and investment advisory registrations, as well as insurance appointment processes.
• Deliver high‑quality customer service and training, fostering strong relationships and ensuring compliance with industry regulations.
• Proactively address registration and licensing issues through action planning and cross‑departmental collaboration.
• Participate in internal process improvement efforts, contributing to cross‑functional initiatives and mentoring peers.
• Build and maintain strong, positive relationships with financial professionals by offering comprehensive registration training during onboarding and providing ongoing support.
• Address concerns and resolve issues related to registration and licensing processes while working closely with other departments and external entities.
• Identify and lead process improvement initiatives, utilizing continuous improvement methods and tools.
• Act as a positive role model and professional representative of the department and company, participating in cross‑divisional committees and task forces when necessary.
• Coach and mentor associates, offering guidance on projects and initiatives.
• Maintain current working knowledge of key industry topics, policies, and procedures regarding registration requirements.

Salary Range: $50,000 ‑ 60,000. This range is a good faith estimate based on the ideal candidate’s qualifications and the company’s operational needs. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

• Paid time off, paid holidays, and floating holidays.
• Medical, dental, and vision coverage.
• Short‑ and long‑term disability; company‑paid life insurance.
• Volunteer time off, wellness incentives, and additional benefits that support personal and professional growth.