Senior Licensing & Compliance Lead

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 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