Licensing & Registration Specialist II

U.S. Bank • Cincinnati, OH

7d • Hybrid

About The Position

The Licensing & Registration Specialist II is responsible for supporting 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. This position requires a highly organized professional who can work independently, exercise sound judgment, and assume ownership of complex regulatory processes with minimal supervision. The successful candidate is expected to manage activities from initiation through completion, proactively identify and mitigate risks, resolve issues independently when appropriate, and ensure end-to-end processes are executed accurately without gaps, delays, or compliance concerns. The successful candidate will demonstrate strong analytical skills, regulatory awareness, and a willingness to broaden expertise across multiple Licensing & Registration disciplines. The Licensing & Registration Specialist II plays a critical role in ensuring the organization maintains regulatory compliance while supporting business growth and advisor readiness. This position provides foundational expertise in insurance licensing and appointments while creating a development path into broader Licensing & Registration responsibilities, including securities registration, compliance operations, regulatory reporting, and strategic process improvement initiatives. The role directly contributes to audit readiness, regulatory risk mitigation, operational efficiency, and an enhanced advisor experience.

Requirements

• 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.
• Independent Ownership & Accountability
• End-to-End Process Management
• Risk Identification & Mitigation
• Sound Judgment & Decision Making
• Process Control & Operational Excellence
• Initiative and Self-Direction
• Regulatory Accuracy & Attention to Detail

Nice To Haves

• 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.
• Demonstrated 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.
• Working knowledge of FINRA Gateway, CRD, IARD, state insurance licensing systems, and carrier appointment platforms.
• 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.

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.
• Monitor 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.
• Assist with 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.

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level