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 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. 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.