Licensing Associate

Mariner Wealth Advisors

9h • $50,000 - $80,000

About The Position

The Licensing Associate at Mariner plays a key role in supporting the firm’s advisors and affiliates by ensuring accurate, timely, and compliant securities registrations and investment advisor licensing. This position is ideal for a detail-oriented professional who thrives in a fast-paced, business-focused environment and is passionate about delivering exceptional service to advisors through accountability and operational excellence.

Requirements

• 2 plus years of licensing experience in a financial services company
• Demonstrated understanding of FINRA, SEC, and state regulatory requirements related to licensing and registrations.
• Highly organized with strong attention to accuracy and the ability to manage multiple priorities simultaneously.
• Professional written and verbal communication skills with a collaborative, team-oriented approach.
• Strong analytical thinking and creative problem-solving abilities in a fast-paced, multi-dimensional environment.

Nice To Haves

• Series 65 preferred

Responsibilities

• Lead registered individuals through the onboarding process, including FINRA CRD pre-registration profiles, compliance questionnaires, and coordination of advisor exams, registrations, and required filings (U4/U5 and amendments).
• Maintain accurate and up-to-date licensing, registration, and associated person records across internal and external systems, ensuring consistency with regulatory requirements and internal due diligence standards.
• Review and analyze outside business activity requests, disclosures, business cards, letterhead, and IAR ADV 2B documents to identify potential conflicts and support regulatory compliance.
• Support Regulatory Element, state IAR continuing education requirements, and annual registration renewals to ensure licenses and registrations remain active and in good standing.
• Process branch registrations, changes, and terminations; assist with regulatory inquiries, examinations, and data requests; and coordinate the collection and preparation of required disclosure documentation.
• Assist in developing and updating procedures, checklists, and automated workflows to enhance efficiency, manage assigned special projects and escalations, and stay current on regulatory initiatives that may impact policies or procedures.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed