{"id":2618005,"url":"https://alion.io/job/janneycom-senior-compliance-analyst-licensing-and-registration","title":"Senior Compliance Analyst, Licensing and Registration","company":{"id":1945292,"name":"JanneyCom","domain":"janney.com","url":"https://alion.io/company/janney","size_band":"501-1000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Dayforce","truth_index":{"grade":"B","score":75,"open_postings":4,"ghost_share":0,"stale_share":1,"repost_share":0,"time_to_fill_p50_days":null,"computed_at":"2026-11-03T05:54:40Z"}},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Towson, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":{"min":80000,"max":95000,"currency":"USD","period":"year","gross":null,"usd_annual":95000},"salary_estimate":null,"experience_years_min":5,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Office","optional":false},{"name":"Outlook","optional":false},{"name":"ServiceNow","optional":false}],"status":"live","first_seen_at":"2026-10-12T04:00:00Z","employer_posted_date":"2026-10-15","last_verified_at":"2026-11-03T09:11:10Z","board_verified":true,"closed_at":null,"days_open":22,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":22},"description":"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. \nWhat you are good at:\nOrganization and Time Management: Possessing the ability to take on multiple requests at once and effectively complete tasks in a time efficient manner. \nInitiative: Proactively identify opportunities to enhance operational processes.\nClient Service: Meeting and exceeding customer expectations by providing timely and attentive responses to client requests.\nTeam Oriented: Collaborating with team members and other departments across the organization.\nResponsibilities:\nRespond to in-depth licensing and registration inquiries via phone and email\nAssess 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\nLead Licensing and Registration projects, including those that require cross-organizational partnership\nTrack and monitor State Announcements and other law changes that impact Licensing and Registration requirements\nMonitor all licensing and registrations systems exception and usage reports (Xchange, Trax, ServiceNow, DTCC)\nMonitor and process the various state license applications and renewal thereof for the Firm\nSupport the Firm’s continuing education and other training programs imposed by FINRA, NFA, NASAA and State Insurance Regulators\nParticipate in specialized training to firm and department personnel as needed\nAssist Manager with Vendor Management and Oversight\nReview and monitor Background Questionnaires (Insurance)\nFile, maintain, and perform periodic review of Branch Offices with FINRA, NFA and Departments of Insurance\nTrack and coordinate state specific branch licensure requirements with the Depts. of Insurance\nTracking of Designated Responsible Persons across the organization for reporting to FINRA & Depts. of Insurance\nAssist with preparing and maintaining licensing & registration internal desk procedures, written supervisory procedures and risk matrix for the Department\nMaintain accurate license and registration records in the Firm’s Licensing Database\nProjects and other tasks as assigned by Manager\n\nWhat you have:\nMinimum 5 years’ experience in licensing & registration required\nCollege degree in business or communications or equivalent industry related experience preferred\nKnowledge of State Securities Registration requirements\nKnowledge of Corporate and Individual Producer Licensing requirements (Insurance)\nKnowledge of Investment Advisor Registration requirements\nKnowledge of State-Based Product Training Requirements (NAIC Model Regs)\nKnowledge of Microsoft Office, Excel, PowerPoint, and Outlook\nAbility to write, review and edit professional documents, letters, emails, etc.\nExceptional organizational and analytical skills\nAble to work in a fast-paced environment\nStrong communication skills (both verbally and in writing)\nGood verbal and written communication skills\n\nWhy work for us?\nBenefits: 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.\n\nJanney 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.\n\nPeople are our strongest asset. We recognize that when our team members thrive, our firm is more successful.\n\nThe 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.","description_format":"text","description_chars":4792,"description_truncated":false,"requirements":{"experience_years_min":5,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":true},"security_clearance":false,"languages":[]},"benefits":["Life insurance","Parental leave","Professional development"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Financial Services","Wealth Management & Financial Advisors"],"lifecycle":[{"event":"open","at":"2026-10-15T12:41:47Z"}],"visa":[],"liveness":{"score":79,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.879,"p_room":0.9,"age_days":22,"expected_fill_days":35,"reasons":["conf:1","urgency","win:mid"],"computed_at":"2026-11-03T05:54:40Z"},"pay":{"stated_usd_annual":95000,"is_top_pay":false},"html_url":"https://alion.io/job/janneycom-senior-compliance-analyst-licensing-and-registration","json_url":"https://alion.io/job/janneycom-senior-compliance-analyst-licensing-and-registration.json","meta":{"generated_at":"2026-11-03T10:32:23Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":14647,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-04T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":1945292},"rest":"https://alion.io/mcp/rest/get_company?id=1945292"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fjanneycom-senior-compliance-analyst-licensing-and-registration"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fjanneycom-senior-compliance-analyst-licensing-and-registration"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fjanneycom-senior-compliance-analyst-licensing-and-registration"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/janneycom-senior-compliance-analyst-licensing-and-registration\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fjanneycom-senior-compliance-analyst-licensing-and-registration"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":2618005}},{"tool":"search_jobs","arguments":{"company":"janney.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":2618005},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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