Senior Licensing & Registration Specialist

U.S. Bank • Minneapolis, MN

7d • Onsite

About The Position

The Senior Licensing & Registration Specialist is responsible for managing regulatory licensing and registration activities and ensuring full compliance with federal and state requirements. This role supports broker-dealers, advisors, and associated personnel by overseeing the end-to-end licensing and registration lifecycle, maintaining audit-ready records, and monitoring regulatory changes.

Requirements

• Bachelor's degree, or equivalent work experience
• Typically more than six years of applicable experience
• Strong organizational skills with exceptional attention to detail.
• Proven ability to manage multiple deadlines in a fast-paced environment.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office Suite, including Excel.

Nice To Haves

• Experience with broker-dealer or investment adviser registration and licensing.
• Working knowledge of FINRA Gateway, CRD, IARD, and state insurance portals.
• Familiarity with U4/U5 filings, insurance licenses, and carrier appointments.
• Experience supporting audits or regulatory exams.
• Relevant licenses or certifications (Series 6/63, insurance license, or compliance designations).
• Proactive, Self-Motivated, & Highly Organized
• Regulatory Accuracy & Attention to Detail
• Time Management & Deadline Execution
• Confidentiality & Professional Discretion
• Problem Solving & Process Improvement
• Cross-Functional Collaboration
• Customer Service Mindset

Responsibilities

• Provide comprehensive licensing and registration support for advisors and associated personnel.
• Ensure ongoing compliance with federal and state securities and insurance regulations.
• Review regulatory rules and notifications and update policies, procedures, and desk guides accordingly.
• Interface with insurance carriers, BGAs, and advisors to resolve licensing, appointment, and product-related issues.
• Serve as a team leader by supporting and overseeing projects and initiatives.
• Maintain accurate internal regulatory records and audit-ready documentation.
• Monitor and communicate changes in state and federal regulatory requirements.
• Assist with regulatory exams, internal audits, and compliance inquiries.
• Track and report key licensing and registration metrics.
• Support policy development and process enhancements.

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: Senior