Licensing & Registration Specialist II

Licensing & Registration Specialist II

The Licensing & Registration Specialist II is responsible for supporting regulatory licensing, registration, appointment, and compliance activities for associated persons and firm entities. Initially focused on insurance licensing and carrier appointment administration, this role is designed to serve as a flexible Licensing & Registration resource with opportunities to expand into securities registration, regulatory reporting, onboarding, compliance support, process improvement initiatives, and other operational functions as business needs evolve.

This position requires a highly organized professional who can work independently, exercise sound judgment, and assume ownership of complex regulatory processes with minimal supervision. The successful candidate is expected to manage activities from initiation through completion, proactively identify and mitigate risks, resolve issues independently when appropriate, and ensure end-to-end processes are executed accurately without gaps, delays, or compliance concerns. The successful candidate will demonstrate strong analytical skills, regulatory awareness, and a willingness to broaden expertise across multiple Licensing & Registration disciplines.

Key Responsibilities:

Process Ownership & Operational Excellence

• Assume end-to-end ownership of assigned licensing, registration, and appointment processes, ensuring timely and accurate execution from initiation through completion.
• Independently identify process gaps, risks, bottlenecks, and compliance concerns and implement appropriate corrective actions.
• Monitor downstream impacts of regulatory and operational activities to ensure all related tasks are completed and documented.
• Serve as the primary point of accountability for assigned processes, escalating issues only when necessary and 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 drive resolution of complex issues while maintaining service level expectations and regulatory standards.

Insurance Licensing & Appointment Administration

• 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.
• Serve as a liaison between insurance carriers, BGAs, advisors, and internal business partners to resolve licensing and appointment issues.

Regulatory Compliance & Risk Management

• 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.

Onboarding, Maintenance & Operational Support

• Support onboarding and offboarding 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 to ensure regulatory accuracy and completeness.
• Track, analyze, and report operational and regulatory metrics.

Growth & Cross-Functional Responsibilities

• Develop 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.
• Serve as a resource for internal stakeholders and contribute to special projects as Licensing & Registration responsibilities evolve.

Basic Qualifications:

• 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.

Core Competencies:

• 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

Location expectations:
This role requires working from one of the U.S. Bank locations listed three (3) or more days per week.