Licensing Specialist

The Securities Licensing Operations Specialist supports the full licensing process for Life/Health and Securities candidates, from enrollment and exam registration through results and next steps. The specialist coordinates licensing activities, answers field inquiries, manages exam registrations, and maintains licensing records and reporting. They are a primary operational resource for candidates, Field Managers, Service, and Home Office partners. The role runs the Securities Industry Essentials (SIE) program, initiates all follow-on securities exams, and supports licensing incentive and mandate programs, helping new agents get licensed and onboarded on time while staying compliant with FINRA regulations and company requirements. It is a high-volume role handling about 150–200 inquiries per day across phone and email, so it calls for strong customer service, excellent organization, close attention to detail, and the ability to manage competing priorities.

Key Responsibilities

Licensing coordination and enrollment

• Prepare and organize licensing materials and enroll agents in them
• Manage the full SIE licensing process for first-time candidates and retakers
• Initiate registrations for Series 6, 7, 63, and 66 exams, including retakes
• Track candidate progress through the licensing pipeline and take the steps needed to keep timelines on track

Scheduling and communications

• Create schedules for upcoming licensing classes and manage the licensing calendar
• Send communications about upcoming licensing classes
• Send follow-up emails to participants
• Send reminders and next steps after exam results

Inquiry and customer support

• Handle a high volume of inbound and outbound calls and emails from candidates, agents, Service, Field Managers, and Home Office partners
• Answer questions on licensing requirements, exam windows, study materials, bonus credit confirmations, Prometric scheduling, FINRA processes, and general licensing topics

Records, reporting, and process improvement

• Maintain and reconcile licensing records across multiple systems, including FINRA reports, STC Study Progress, licensing dashboards, and internal tracking tools
• Fulfill reporting requests and give accurate licensing information to business partners and field leadership
• Find and fix licensing issues to avoid delays in candidate progress
• Maintain process documentation and support continuous improvement in licensing operations

Requirements

• Strong customer support and customer service experience
• Ability to professionally manage a high volume of inbound and outbound calls
• Excellent phone etiquette, clear verbal communication, and active listening
• Customer-focused demeanor
• Strong organizational skills and close attention to detail
• Ability to manage competing priorities in a fast-paced, high-volume environment
• Knowledge of FINRA regulations

Business Impact

• Timely onboarding of new agents
• Efficient progress through the securities licensing process
• Accurate administration of securities licensing requirements
• Support for licensing incentive and mandate programs
• Responsive service to candidates, Field Managers, Service, and Home Office partners
• Accurate reporting and maintenance of licensing records
• Fewer operational delays and licensing-related processing issues