Licensing & Registration Specialist II

About the role

The Licensing & Registration Specialist II supports 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.

Responsibilities

• 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.
• 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.
• Maintain 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.
• 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 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.
• Develop working knowledge of securities registration and licensing processes to support future business needs.
• Participate in process improvement initiatives, control enhancements, and departmental projects.
• Aid in 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.

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

Preferred Skills/Experience

• 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 with the ability to identify issues, determine appropriate actions, and drive resolution
• Ability to balance multiple priorities while maintaining accuracy, accountability, and regulatory compliance
• Strong understanding of insurance licensing processes and regulatory requirements
• Proven ability to manage multiple priorities and competing deadlines
• Strong organizational skills and exceptional attention to detail
• Effective written and verbal communication skills
• Proficiency in Microsoft Office Suite, including Excel, Word, and Outlook
• Experience with a broker-dealer, registered investment adviser or insurance licensing and appointments
• Familiarity with advisor onboarding, registration, and licensing processes
• Experience supporting audits, regulatory exams, or compliance reviews
• Insurance licenses, FINRA registrations, or other compliance-related certifications