Compliance Licensing & Systems Administrator

Carson Group•Omaha, NE

5d•Onsite

About The Position

This role is responsible for delivering timely and accurate licensing, registration, and appointment services for financial professionals and associated persons. The administrator will ensure compliance with SEC, FINRA, state securities, and firm requirements while providing a high-quality experience for advisors and internal partners. This position serves as a trusted resource throughout the registration lifecycle, including onboarding, transfers, amendments, renewals, and terminations. The administrator will also partner across the organization to maintain regulatory compliance and support business growth.

Requirements

Bachelor’s degree in business administration, finance, accounting, legal studies, information systems, or a related field required.
Minimum of three years of experience in licensing, registration, securities compliance, or compliance systems within a broker-dealer, registered investment adviser, or financial services organization required.
Intermediate proficiency in Microsoft Office, including Word, Excel, Outlook, and PowerPoint, required.
Ability and willingness to learn and work within new technology platforms required.
Superior written, verbal, and interpersonal communication skills required.
Ability to interpret and explain regulatory requirements and processes professionally required.
Superior customer service skills, responsiveness, and a strong sense of urgency required.
Ability to prioritize responsibilities and perform effectively under pressure in a fast-paced environment required.
Ability to manage multiple responsibilities while remaining highly organized and attentive to detail required.
Flexibility and adaptability required.
Sound judgment and the confidence to identify concerns requiring formal attention and communicate them professionally required.

Nice To Haves

Series 7, 24, 63, 65, or 66 license preferred.
Experience with Salesforce, Smarsh, RegEd, or similar compliance technology platforms preferred.

Responsibilities

Process FINRA, SEC, and state licensing and registration requests.
Prepare, submit, and maintain Forms U4 and U5 and related regulatory filings.
Maintain firm ADV disclosure documents, including creating representative Form ADV Part 2B brochure supplements.
Manage state notice filings and registration requirements, maintain supporting records, monitor licensing statuses, and proactively resolve registration deficiencies.
Coordinate licensing activities associated with new hires, acquisitions, advisor transitions, and terminations.
Verify registration eligibility and required documentation before onboarding.
Process registrations, amendments, and terminations within established regulatory timeframes.
Partner with internal teams to provide a seamless onboarding and offboarding experience.
Ensure licensing activities comply with FINRA, SEC, state securities, and firm requirements.
Monitor regulatory developments that may affect licensing and registration processes.
Support regulatory examinations by gathering and providing requested licensing documentation.
Maintain complete audit trails and supporting records.
Maintain accurate information within licensing databases and regulatory systems.
Produce reports related to registration status, continuing education, renewals, and other licensing metrics.
Identify and resolve data discrepancies proactively.
Recommend process improvements that increase efficiency, accuracy, and scalability.
Administer the firm’s primary compliance technology platforms, including Smarsh, RegEd, MyRepChat, RedOak, SiteQuest, and other compliance-related systems.
Maintain system configurations, user access, permissions, workflows, notifications, and data integrity.
Monitor system activity and address issues, exceptions, and control gaps requiring remediation.
Coordinate with vendors regarding system enhancements, technical issues, implementations, and support requests.
Develop and maintain procedures and documentation for compliance systems and related processes.
Serve as a primary point of contact for licensing- and compliance-system-related questions from advisors, business partners, and internal teams.
Provide guidance regarding licensing requirements, registration processes, and regulatory timelines.
Identify opportunities to improve automation, reporting, efficiency, and the overall use of compliance technology.
Partner with compliance leaders and internal stakeholders to improve licensing and compliance-system processes and the advisor experience.
Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.