Registration and Licensing Consultant
About The Position
The Registration & Licensing Consultant will proactively address registration and licensing issues through action planning and cross-departmental collaboration. This role also plays a key part in internal process improvement efforts, contributing to cross-functional initiatives and mentoring peers within the department. A strong understanding of regulatory requirements, effective communication skills, and a commitment to operational excellence are critical for success in this position. We are seeking a knowledgeable and service-driven Registration & Licensing Consultant to support our financial professionals throughout all phases of their affiliation with the firm. This role is responsible for consulting on all aspects of FINRA, state, and investment advisory registrations, as well as insurance appointment processes. The ideal candidate will deliver high-quality customer service and training, foster strong relationships, and ensure compliance with industry regulations.
Responsibilities
- Relationship Management: Build and maintain strong, positive relationships with financial professionals by offering comprehensive registration process training during onboarding and providing ongoing support throughout their time with the firm.
- Customer Service: Deliver high-quality customer service by addressing concerns and resolving issues related to registration and licensing processes, while working closely with other departments and external entities as needed.
- Process Improvement: Identify and lead process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of registration and licensing procedures.
- Leadership & Representation: Act as a positive role model and professional representative of the department and company, participating in cross-divisional committees and task forces when necessary.
- Coaching & Mentoring: Coach and mentor associates, offering guidance on projects and initiatives to foster professional development and positive experiences that contribute to long-term business success.
- Industry Knowledge: Maintain a current working knowledge of key industry topics, policies, and procedures regarding registration requirements to ensure compliance and best practices are followed.
Benefits
- Our comprehensive benefits package is designed to support your health, well-being, and work-life balance.
- We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short- and long-term disability, and company-paid life insurance.
- Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
