Senior Compliance Analyst, Licensing and Registration

The Licensing & Registration Analyst supports the insurance licensing and securities registration activities of the Firm and its registered persons. Licensing & Registration professionals play a critical role in insuring compliance with state and federal regulations.

• Organization and Time Management: Possessing the ability to take on multiple requests at once and effectively complete tasks in a time efficient manner.
• Initiative: Proactively identify opportunities to enhance operational processes.
• Client Service: Meeting and exceeding customer expectations by providing timely and attentive responses to client requests.
• Team Oriented: Collaborating with team members and other departments across the organization.

• Respond to in-depth licensing and registration inquiries via phone and email
• Assess operational processes and internal business practices to identify areas prone to risks and provide recommendations for remediation, technology advancements/automation, and/or development to ensure compliance with State, SRO and Firm policies and procedures
• Lead Licensing and Registration projects, including those that require cross-organizational partnership
• Track and monitor State Announcements and other law changes that impact Licensing and Registration requirements
• Monitor all licensing and registrations systems exception and usage reports (Xchange, Trax, Service Now, DTCC)

• Monitor and process the various state license applications and renewal thereof for the Firm
• Support the Firm’s continuing education and other training programs imposed by FINRA, NFA, NASAA and State Insurance Regulators
• Participate in specialized training to firm and department personnel as needed
• Assist Manager with Vendor Management and Oversight
• Review and monitor Background Questionnaires (Insurance)
• File, maintain, and perform periodic review of Branch Offices with FINRA, NFA and Departments of Insurance
• Track and coordinate state specific branch licensure requirements with the Depts. of Insurance
• Tracking of Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance

• Assist with preparing and maintaining licensing & registration internal desk procedures, written supervisory procedures and risk matrix for the Department
• Maintain accurate license and registration records in the Firm’s Licensing Database
• Projects and other tasks as assigned by Manager

• Minimum 5 years’ experience in licensing & registration required

• College degree in business or communications or equivalent industry related experience preferred

• Knowledge of State Securities Registration requirements
• Knowledge of Corporate and Individual Producer Licensing requirements (Insurance)
• Knowledge of Investment Advisor Registration requirements
• Knowledge of State-Based Product Training Requirements (NAIC Model Regs)

• Knowledge of Microsoft Office, Excel, PowerPoint, and Outlook
• Ability to write, review and edit professional documents, letters, emails, etc.
• Exceptional organizational and analytical skills
• Able to work in a fast-paced environment
• Strong communication skills (both verbally and in writing)
• Good verbal and written communication skills

Benefits:
Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the…