Senior Compliance Analyst, Licensing and Registration

The Licensing & RegistrationAnalyst 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 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 Service: Meeting and exceeding customer expectations by providing timely and attentive responses to client Oriented: Collaborating with team members and other departments across the organization. Responsibilities:Respond to in-depth licensing and registration inquiries via phone and emailAssess 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 proceduresLead Licensing and Registration projects including those that require cross-organizational partnershipTrack and monitor State Announcements and other law changes that impact Licensing and Registration requirementsMonitor 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 FirmSupport the Firms continuing education and other training programs imposed by FINRA NFA NASAA and State Insurance RegulatorsParticipate in specialized training to firm and department personnel as neededAssist Manager with Vendor Management and OversightReview and monitor Background Questionnaires (Insurance)File maintain and perform periodic review of Branch Offices with FINRA NFA and Departments of InsuranceTrack and coordinate state specific branch licensure requirements with the Depts. of InsuranceTracking of Designated Responsible Persons across the organization for reporting to FINRA & Depts. of InsuranceAssist with preparing and maintaining licensing & registration internal desk procedures written supervisory procedures and risk matrix for the DepartmentMaintain accurate license and registration records in the Firms Licensing DatabaseProjects and other tasks as assigned by ManagerWhat you have:Minimum 5 years experience in licensing & registration requiredCollege degree in business or communications or equivalent industry related experience preferredKnowledge of State Securities Registration requirementsKnowledge of Corporate and Individual Producer Licensing requirements (Insurance)Knowledge of Investment Advisor Registration requirementsKnowledge of State-Based Product Training Requirements (NAIC Model Regs)Knowledge of Microsoft Office Excel PowerPoint and OutlookAbility to write review and edit professional documents letters emails organizational and analytical skillsAble to work in a fast-paced environmentStrong communication skills (both verbally and in writing)Good verbal and written communication skillsWhy work for usBenefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employees 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 $2000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at hometoday and in the is an award-winning full-service financial services firm committed to understanding our clients needs and providing advice beyond are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the are our strongest asset. We recognize that when our team members thrive our firm is more 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 $80000 to $95000. Total compensation packages at Janney are based on experience skills credentials and geographical location of each specific candidate.

Required Experience:

Senior IC