Senior Compliance Analyst, Licensing and Registration

The Licensing & Registration Analyst supports the insurance licensing and securities registration activities of the Firm and its registered persons.  Licensing & Registration professionals play a critical role in insuring compliance with state and federal regulations. 

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. 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.

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.