Onsite Licensing & Registration Manager – Wealth Management

integritymarketing; Des Moines (IA); On-site; USD 120,000 - 190,000; Full time

Job summary

Integrity is seeking a Manager of Licensing & Registration to oversee FINRA, SEC, and state licensing for Wealth advisors. You will lead a team ensuring timely U4/U5 filings, CE compliance, and regulatory reporting, while partnering with Compliance, Legal, and Wealth leadership.

The role focuses on onboarding, transitions, and maintaining risk-managed processes to support growth and regulatory integrity across the Wealth Management platform.

Qualifications

• Bachelor's degree in business or finance.
• 7+ years in licensing, registration, or advisor onboarding in wealth management.

Responsibilities

• Oversee FINRA, SEC, and state licensing and registration activity for Wealth advisors and staff.
• Ensure timely submission of U4, U5, BR, BD, and ADV filings.
• Maintain CE, renewals, amendments, and regulatory updates.

Skills

Regulatory knowledge

Leadership

Series 7/24

U4/U5 filings

Bachelor's degree

Onboarding experience

Attention to detail

Regulatory reporting

Education

Bachelor's degree in business/finance

Tools

FINRA/SEC regulations

Job description

Integrity is seeking a Manager of Licensing & Registration to oversee FINRA, SEC, and state licensing for Wealth advisors. You will lead a team ensuring timely U4/U5 filings, CE compliance, and regulatory reporting, while partnering with Compliance, Legal, and Wealth leadership.

The role focuses on onboarding, transitions, and maintaining risk-managed processes to support growth and regulatory integrity across the Wealth Management platform.