Senior Compliance Analyst, Licensing and Registration

About the Role

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. 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.

Skills

• 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.

Responsibilities

• 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, ServiceNow, 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