Licensing & Registration Specialist II

US Bank; Charlotte (NC); On-site; USD 60,000 - 85,000; Full time

Job summary

U.S. Bank is seeking a Licensing & Registration Specialist II to support licensing, registration, and appointment activities across insurance and related regulatory areas.

The role requires high organization, independent work, and proactive risk mitigation to ensure accurate, timely, and compliant end-to-end processes. Opportunities to grow into securities registration and broader regulatory responsibilities.

Qualifications

• Bachelor's degree or equivalent work experience.
• Typically more than three years of applicable experience in insurance, licensing & registration, compliance, financial services, banking, or a related regulatory environment.
• Strong understanding of insurance licensing processes and regulatory requirements.

Responsibilities

• Own end-to-end licensing, registration, and appointment processes.
• Identify gaps, risks, and compliance concerns; implement actions.
• Coordinate insurance licensing activities including renewals and amendments.
• Liaise with carriers, BGAs, advisors, and internal partners to resolve issues.
• Maintain regulatory records and support audits.
• Support onboarding/offboarding and data maintenance in internal systems.
• Track metrics and drive process improvements.

Skills

Strong understanding of insurance

Education

Bachelor's degree or equivalent work experience

Job description

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

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.

Key Responsibilities:

Process Ownership & Operational Excellence

• 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.

Insurance Licensing & Appointment Administration

• 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.

Regulatory Compliance & Risk Management

• 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.

Onboarding, Maintenance & Operational Support

• 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.

Growth & Cross-Functional Responsibilities

• 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.

Basic Qualificati ons

• Bachelor's degree, or equivalent work experience
• Typically more than three years of applicable experience in insurance, licensing & registration, compliance, financial services, banking, or a related regulatory environment.
• Strong understanding of insurance licensing processes and regulatory requirements.

Preferred Skills/Experience

• Experience with a broker-dealer, registered investment adviser or insu