Wealth Licensing & Registration Leader

Insurance Administrative Solutions, L.l.c.; Urbandale (IA); On-site; USD 90,000 - 130,000; Full time

Job summary

Integrity, LLC seeks a Manager of Licensing & Registration to lead FINRA/SEC and state filings for Wealth advisors, ensuring accuracy and timely submissions. The role partners with Compliance, Legal, and Onboarding to support advisor onboarding, transitions, and ongoing regulatory maintenance.

You will mentor a team, establish workflows, and drive process improvements while coordinating with Wealth Leadership on regulatory reporting and risk management.

Qualifications

• Bachelor’s degree in business, finance, or related field preferred.
• 7+ years of experience in licensing, registration, compliance operations, or advisor onboarding within a broker‑dealer, RIA, or wealth management environment.
• Series 7 and 24 required.
• Prior people‑management experience strongly preferred.
• Deep working knowledge of FINRA, SEC, and state licensing requirements and filings.
• Experience managing U4/U5 filings, continuing education, regulatory reporting, and audits.
• Strong attention to detail with the ability to manage complex, high-risk regulatory processes.
• Proven ability to lead teams, manage priorities, and drive operational improvements.
• Excellent written and verbal communication skills, including comfort communicating with senior leadership and regulators.
• High level of professionalism, discretion, and sound judgment.

Responsibilities

• Oversee all FINRA, SEC, and state licensing and registration activity for Wealth advisors and registered staff.
• Ensure timely and accurate submission of U4, U5, BR, BD, and ADV‑related filings.
• Maintain ongoing compliance with continuing education (CE), renewals, amendments, and regulatory updates.
• Monitor regulatory deadlines to prevent late filings, deficiencies, or business disruptions.
• Partner with Wealth Onboarding, Transitions, Compliance, and Legal teams to support seamless advisor onboarding and broker‑dealer/RIA transitions.
• Ensure licensing and registration processes align with onboarding timelines and business objectives.
• Serve as an escalation point for complex registrations, regulatory inquiries, or state‑specific issues.
• Lead, coach, and develop the Licensing & Registration team to ensure high performance, accountability, and regulatory accuracy.
• Establish clear roles, expectations, service standards, and workflows for the team.
• Build scalable, documented processes to support current and future growth of the Wealth platform.
• Partner closely with Compliance and Legal to interpret and apply regulatory requirements.
• Identify and mitigate licensing‑related risks that could impact firm standing, advisor productivity, or revenue.
• Prepare reporting, insights, and updates for leadership related to licensing status, risks, trends, and capacity.
• Evaluate and improve systems, tools, and processes related to licensing, registration, and tracking.
• Maintain accurate records, dashboards, and audit‑ready documentation.
• Drive continuous improvement initiatives to reduce cycle times, errors, and manual work.
• Act as a trusted partner to Wealth Leadership, Compliance, Legal, Operations, and People & Culture.
• Support strategic initiatives tied to growth, acquisitions, and organizational changes impacting licensing.

Skills

Regulatory knowledge

FINRA/SEC licensing

U4/U5 filings

Series 7 & 24

People management

Attention to detail

Cross-functional collaboration

Onboarding & transitions

Education

Bachelor’s degree in business/finance

Job description

Integrity, LLC seeks a Manager of Licensing & Registration to lead FINRA/SEC and state filings for Wealth advisors, ensuring accuracy and timely submissions. The role partners with Compliance, Legal, and Onboarding to support advisor onboarding, transitions, and ongoing regulatory maintenance.

You will mentor a team, establish workflows, and drive process improvements while coordinating with Wealth Leadership on regulatory reporting and risk management.