Contracting, Licensing & Registration Specialist

ExtensisHR•Houston, TX

12d

About The Position

The Contracting, Licensing & Registration Specialist supports the timely and accurate onboarding, contracting, licensing, registration, and continuing education requirements of financial representatives, associate financial representatives, and field staff. The role coordinates across Network, District, Ensemble, and Home Office stakeholders; maintains confidential records; communicates requirements and status updates; and improves processes that enable advisor and staff readiness. This full-time position supports the Northwestern Mutual Network Office. The specialist manages onboarding and contract records, oversees NMIS registration and insurance licensing processes, supports securities examination preparation, and partners with the Supervision team to ensure continuing education is completed on time. The role also administers tracking and reporting systems, provides technical guidance, supports leadership reporting and Financial Planning Academy onboarding, and contributes to projects and process improvements. Performance expectations include supporting full-time recruiting goals, achieving a 75% or higher offer-acceptance-to-contract ratio, and maintaining 0% late continuing education across the Network Office. Compensation includes a base salary of $65,000 annually and an annual bonus opportunity of up to 10% of base salary ($6,500), for target total cash compensation of $71,500.

Requirements

Bachelor's degree or an equivalent combination of education and relevant experience.
Experience in contracting, licensing, registration, compliance operations, financial services administration, or a similarly regulated environment.
Strong organizational and project-management skills, with the ability to manage high-volume, deadline-driven workflows and multiple stakeholders.
Exceptional attention to detail, follow-through, recordkeeping discipline, and commitment to confidentiality.
Clear written and verbal communication skills, including the ability to explain technical requirements and provide concise status updates.
Proficiency with Microsoft 365 and demonstrated ability to learn and use workflow, tracking, and record-management systems.

Nice To Haves

Experience supporting insurance licensing, securities registration, advisor onboarding, or continuing education.
Familiarity with FINRA registration processes, state insurance licensing requirements, and financial-services compliance workflows.
Experience working across local offices and centralized Home Office teams in a matrixed environment.

Responsibilities

Coordinate onboarding for financial representatives, associate financial representatives, and staff after offer acceptance, including communications and handoffs across Network, District, Ensemble, and Home Office stakeholders.
Manage records for new contracts, contract changes, and terminations while maintaining confidentiality and data accuracy.
Provide status updates in weekly recruiting pipeline meetings and recurring leadership communications.
Manage NMIS registration activities for new and existing financial representatives, associate financial representatives, and staff.
Direct individuals to study materials and requirements for applicable SIE, Series 7, Series 6, and Series 63 securities examinations.
Manage resident, non-resident, and license-transfer processes for new and existing financial representatives.
Partner with the Supervision team to ensure timely completion of continuing education requirements and adherence to compliance standards.
Use local and Home Office systems and tools to administer, input, track, follow up on, and report contracting, licensing, and registration requirements.
Distribute accurate technical guidance on contracting, licensing, and registration requirements to relevant stakeholders.
Provide leadership-requested reporting and visibility into onboarding progress, risks, and next steps.
Collaborate with key leaders to ensure advisors entering Financial Planning Academy complete the onboarding roadmap.
Support ad hoc projects, streamline processes, resolve issues, and strengthen office best practices.
Support full-time recruiting goals and achievement of a 75% or higher offer-acceptance-to-contract ratio.
Maintain 0% late continuing education across the Network Office.