Senior Compliance Analyst, Licensing and Registration

Janney Montgomery Scott LLC•Towson, MD

13d•$80,000 - $95,000

About The Position

The Licensing & Registration Analyst supports the insurance licensing and securities registration activities of the Firm and its registered persons. Licensing & Registration professionals play a critical role in insuring compliance with state and federal regulations.

Requirements

Minimum 5 years’ experience in licensing & registration required
Knowledge of State Securities Registration requirements
Knowledge of Corporate and Individual Producer Licensing requirements (Insurance)
Knowledge of Investment Advisor Registration requirements
Knowledge of State-Based Product Training Requirements (NAIC Model Regs)
Knowledge of Microsoft Office, Excel, PowerPoint, and Outlook
Ability to write, review and edit professional documents, letters, emails, etc.
Exceptional organizational and analytical skills
Able to work in a fast-paced environment
Strong communication skills (both verbally and in writing)
Good verbal and written communication skills

Nice To Haves

College degree in business or communications or equivalent industry related experience preferred

Responsibilities

Respond to in-depth licensing and registration inquiries via phone and email
Assess operational processes and internal business practices to identify areas prone to risks and provide recommendations for remediation, technology advancements/automation, and/or development to ensure compliance with State, SRO and Firm policies and procedures
Lead Licensing and Registration projects, including those that require cross-organizational partnership
Track and monitor State Announcements and other law changes that impact Licensing and Registration requirements
Monitor all licensing and registrations systems exception and usage reports (Xchange, Trax, ServiceNow, DTCC)
Monitor and process the various state license applications and renewal thereof for the Firm
Support the Firm’s continuing education and other training programs imposed by FINRA, NFA, NASAA and State Insurance Regulators
Participate in specialized training to firm and department personnel as needed
Assist Manager with Vendor Management and Oversight
Review and monitor Background Questionnaires (Insurance)
File, maintain, and perform periodic review of Branch Offices with FINRA, NFA and Departments of Insurance
Track and coordinate state specific branch licensure requirements with the Depts. of Insurance
Tracking of Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance
Assist with preparing and maintaining licensing & registration internal desk procedures, written supervisory procedures and risk matrix for the Department
Maintain accurate license and registration records in the Firm’s Licensing Database
Projects and other tasks as assigned by Manager