Senior Licensing & Registration Specialist

Senior Licensing & Registration Specialist The Senior Licensing & Registration Specialist is responsible for managing regulatory licensing and registration activities and ensuring full compliance with federal and state requirements. This role supports broker-dealers, advisors, and associated personnel by overseeing the end-to-end licensing and registration lifecycle, maintaining audit-ready records, and monitoring regulatory changes. Key Responsibilities Provide comprehensive licensing and registration support for advisors and associated personnel. Ensure ongoing compliance with federal and state securities and insurance regulations. Review regulatory rules and notifications and update policies, procedures, and desk guides accordingly. Interface with insurance carriers, BGAs, and advisors to resolve licensing, appointment, and product-related issues. Serve as a team leader by supporting and overseeing projects and initiatives. Maintain accurate internal regulatory records and audit-ready documentation. Monitor and communicate changes in state and federal regulatory requirements. Assist with regulatory exams, internal audits, and compliance inquiries. Track and report key licensing and registration metrics. Support policy development and process enhancements. Basic Qualifications Bachelor's degree, or equivalent work experience. Typically more than six years of applicable experience. Preferred Skills/Experience Strong organizational skills with exceptional attention to detail. Proven ability to manage multiple deadlines in a fast-paced environment. Excellent written and verbal communication skills. Proficiency with Microsoft Office Suite, including Excel. Experience with broker-dealer or investment adviser registration and licensing. Working knowledge of FINRA Gateway, CRD, IARD, and state insurance portals. Familiarity with U4/U5 filings, insurance licenses, and carrier appointments. Experience supporting audits or regulatory exams. Relevant licenses or certifications (Series 6/63, insurance license, or compliance designations). Core Competencies Proactive, Self-Motivated, & Highly Organized Regulatory Accuracy & Attention to Detail Time Management & Deadline Execution Confidentiality & Professional Discretion Problem Solving & Process Improvement Cross-Functional Collaboration Customer Service Mindset This role requires working from a U.S. Bank location three (3) or more days per week. If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants. Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following: Healthcare (medical, dental, vision) Basic term and optional term life insurance Short-term and long-term disability Pregnancy disability and parental leave 401(k) and employer-funded retirement plan Paid vacation (from two to five weeks depending on salary grade and tenure) Up to 11 paid holiday opportunities Adoption assistance Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law. U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program. The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $105,400.00 - $124,000.00 U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws.

Created: 2026-03-05