Licensing & Regulatory Compliance Specialist

First Command Financial Services, Inc.; Fort Worth (TX); On-site; USD 52,000 - 78,000; Full time

Job summary

First Command Financial Services, Inc. is seeking a Licensing Specialist to serve as the primary liaison for insurance and securities licensing actions after individuals are registered.

The role supports over 900 licensed personnel including Financial Advisors, Planners, and Home Office staff, handling licenses, renewals, CE tracking, and regulatory notices. The position requires organizational excellence, strong communication, and the ability to manage confidential information with independent

Qualifications

• Bachelor's degree or the equivalent combination of education and experience required.
• Administrative skills/experience required.
• 2 years customer service required.
• Experience in insurance carrier or licensing processing preferred.
• Knowledge of FINRA and RegEd licensing systems preferred.

Responsibilities

• Obtain non-resident insurance licenses and securities registrations upon request.
• Monitor and notify advisors of upcoming CE requirements for insurance and securities.
• Monitor and coordinate LTC and Annuity training notifications.
• Process renewals for state insurance licenses for resident and non-resident.
• Assist licensed individuals with Just-In-Time appointments.
• Ensure training requirements for carrier appointments are met.
• Process updates, terminations, and renewals to carriers.
• Process relocations when advisors move offices.
• Notify regulatory agencies of address/name changes.
• Monitor annual FINRA renewals.
• Process terminations to ensure U5s are completed timely.
• Accomplish special projects as assigned.
• Process billing from FINRA and RegEd for reconciliation.
• Renew Surety Bonds annually.
• Assist in onboarding field staff.

Skills

Administrative skills

Customer service

Written and verbal communication

Attention to detail

Under pressure

Teamwork / collaboration

Organizational skills

Independent judgment

Education

Bachelor's degree

Tools

AS400

Microsoft Office

FINRA licensing system

RegEd licensing system

Job description

First Command Financial Services, Inc. is seeking a Licensing Specialist to serve as the primary liaison for insurance and securities licensing actions after individuals are registered.

The role supports over 900 licensed personnel including Financial Advisors, Planners, and Home Office staff, handling licenses, renewals, CE tracking, and regulatory notices. The position requires organizational excellence, strong communication, and the ability to manage confidential information with independent