Job SummaryThe Manager of Licensing & Registration is responsible for overseeing all licensing, registration, and regulatory reporting activities supporting the Wealth Management organization. This role ensures timely, accurate, and compliant advisor registrations with FINRA, the SEC, and applicable state regulators, while leading a team that supports advisor onboarding, transitions, and ongoing regulatory maintenance.
The Manager serves as a key risk-management partner to Compliance, Legal, Operations, and Wealth Leadership, with accountability for process integrity, regulatory deadlines, and continuous improvement across licensing and registration workflows. This position is based onsite in our Urbandale, IA or Austin, TX office locations.
Primary ResponsibilitiesLicensing & Registration Oversight- 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.
Advisor Onboarding & Transitions- 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.
People & Process Leadership- 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.
Risk Management & Compliance Partnership- 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.
Operational Excellence & Continuous Improvement- 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.
Cross-Functional Collaboration- 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.
Primary Skills & 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.
