Senior Compliance Analyst, Licensing and Registration

OSTTRA Group; Towson (MD); Sur place; USD 80 000 - 95 000; Plein temps

Avantages offerts par ce poste

Paid Parental Leave

Paid Time Off

Referral Bonus

Professional Development Assistance

Résumé du poste

Janney is a leading full-service financial services firm seeking a Licensing & Registration professional in Towson, MD. You will respond to inquiries, assess processes for compliance, and lead cross-organizational licensing initiatives to align with FINRA, NFA, NASAA, and state requirements.

The role requires 5+ years in licensing, strong communication, and advanced Microsoft Office skills. The position emphasizes collaboration across departments, with a focus on risk mitigation and process

Qualifications

• Minimum 5 years' experience in licensing & registration required.
• Knowledge of State Securities Registration requirements.
• Knowledge of Corporate and Individual Producer Licensing requirements (Insurance).
• Knowledge of Investment Advisor Registration requirements.
• Knowledge of State-Based Product Training Requirements (NAIC Model Regs).
• Knowledge of Microsoft Office, Excel, PowerPoint, and Outlook.
• Ability to write, review and edit professional documents, letters, emails, etc.
• Exceptional organizational and analytical skills.
• Able to work in a fast-paced environment.
• Strong communication skills (both verbally and in writing).

Responsabilités

• Respond to in-depth licensing and registration inquiries via phone and email
• Assess operational processes and internal business practices to identify risks and remediation steps
• Lead Licensing and Registration projects, including cross-organizational partnerships
• Track and monitor State Announcements and other law changes that impact Licensing and Registration
• Monitor licensing and registrations systems exception and usage reports (Xchange, Trax, ServiceNow, DTCC)
• Monitor and process various state license applications and renewals
• Support continuing education and training programs imposed by FINRA, NFA, NASAA and State Regulators
• Participate in specialized training for firm personnel as needed
• Assist Manager with Vendor Management and Oversight
• Review Background Questionnaires (Insurance)
• File, maintain, and periodically review Branch Offices with FINRA, NFA and Insurance Depts
• Track State licensure requirements with Depts. of Insurance
• Track: Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance
• Assist with preparing/licensing procedures and risk matrix for the Department
• Maintain accurate license and registration records in Licensing Database
• Handle Projects and other tasks as assigned by Manager

Connaissances

Organization & Time Management

Initiative

Client Service

Team Oriented

Formation

College degree in business or communications or equivalent

Outils

Microsoft Office

Excel

Outlook

PowerPoint

Description du poste

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

What You Are Good At

• Organization and Time Management: Possessing the ability to take on multiple requests at once and effectively complete tasks in a time efficient manner.
• Initiative: Proactively identify opportunities to enhance operational processes.
• Client Service: Meeting and exceeding customer expectations by providing timely and attentive responses to client requests.
• Team Oriented: Collaborating with team members and other departments across the organization.

Responsibilities

• Respond to in-depth licensing and registration inquiries via phone and email
• Assess operational processes and internal business practices to identify areas prone to risks and provide recommendations for remediation, technology advancements/automation, and/or development to ensure compliance with State, SRO and Firm policies and procedures
• Lead Licensing and Registration projects, including those that require cross-organizational partnership
• Track and monitor State Announcements and other law changes that impact Licensing and Registration requirements
• Monitor all licensing and registrations systems exception and usage reports (Xchange, Trax, ServiceNow, DTCC)
• Monitor and process the various state license applications and renewal thereof for the Firm
• Support the Firm's continuing education and other training programs imposed by FINRA, NFA, NASAA and State Insurance Regulators
• Participate in specialized training to firm and department personnel as needed
• Assist Manager with Vendor Management and Oversight
• Review and monitor Background Questionnaires (Insurance)
• File, maintain, and perform periodic review of Branch Offices with FINRA, NFA and Departments of Insurance
• Track and coordinate state specific branch licensure requirements with the Depts. of Insurance
• Tracking of Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance
• Assist with preparing and maintaining licensing & registration internal desk procedures, written supervisory procedures and risk matrix for the Department
• Maintain accurate license and registration records in the Firm's Licensing Database
• Projects and other tasks as assigned by Manager

What You Have

• Minimum 5 years' experience in licensing & registration required
• College degree in business or communications or equivalent industry related experience preferred
• Knowledge of State Securities Registration requirements
• Knowledge of Corporate and Individual Producer Licensing requirements (Insurance)
• Knowledge of Investment Advisor Registration requirements
• Knowledge of State-Based Product Training Requirements (NAIC Model Regs)
• Knowledge of Microsoft Office, Excel, PowerPoint, and Outlook
• Ability to write, review and edit professional documents, letters, emails, etc.
• Exceptional organizational and analytical skills
• Able to work in a fast-paced environment
• Strong communication skills (both verbally and in writing)
• Good verbal and written communication skills

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home-today and in the future. Explore further.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.

People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.

The compensation package for this position consists of a base salary, (with eligibility for an annual bonus if applicable) as well as eligibility to participate in all company benefits offered by Janney to full-time employees including health, dental, medical coverage, disability income protection, life insurance, PTO/vacation, holidays, and 401(k). The salary range for this position will be $80,000 to $95,000. Total compensation packages at Janney are based on experience, skills, credentials, and geographical location, of each specific candidate.

Janney is an equal opportunity employer and makes employment decisions on the basis of merit and business needs.