Senior Licensing & Registration Specialist

U.S. Bank • Saint Paul, MN

1d • Hybrid

About The Position

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description Position Summary 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.
• 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

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).

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: Mid Level