Licensing & Registration Specialist II

U.S. Bank

. Support regulatory licensing, registration, appointment, and compliance activities for associated persons and firm entities .

Posted 10/28/2026full-timeUnited StatesMid-LevelSenior💰 $75,820 - $89,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in insurance licensing processes, regulatory compliance, and operational management within financial services. Proficient in maintaining accurate records, supporting audits, and liaising with stakeholders to ensure adherence to state regulations and firm policies.

Highest-signal resume keywords

Insurance Licensing ProcessesRegulatory ComplianceFINRA GatewayOperational ManagementAttention to Detail

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory LicensingCompliance ActivitiesQuality ReviewsData ValidationOperational Metrics TrackingProcess ImprovementAudit SupportRegulatory DocumentationInsurance RegistrationAppointment Management

Soft Skills

Decision-MakingOrganizational SkillsEffective CommunicationIndependenceAbility to Manage Priorities

Tools & Technologies

Microsoft Office SuiteExcelWordOutlookState Insurance Licensing SystemsCarrier Appointment Platforms

Certifications & Qualifications

Insurance LicensesFINRA RegistrationsCompliance-Related Certifications

Industry Keywords

Financial ServicesBankingBroker-DealerRegistered Investment AdviserRegulatory Environment

About the role

Key responsibilities & impact

Support regulatory licensing, registration, appointment, and compliance activities for associated persons and firm entities
Manage insurance licensing applications, renewals, amendments, and terminations for producers and entities
Coordinate carrier appointment requests, renewals, transfers, and terminations
Monitor continuing education and license renewal requirements
Liaise with insurance carriers, BGAs, advisors, and internal business partners to resolve licensing and appointment issues
Ensure compliance with state insurance regulations, firm policies, and regulatory requirements
Monitor regulatory updates and communicate impacts to stakeholders
Maintain accurate regulatory records and documentation for audit readiness
Support regulatory examinations, compliance reviews, internal audits, and remediation efforts
Support onboarding and offboarding activities, including licensing, appointments, registrations, and related regulatory filings
Maintain licensing, appointment, registration, and demographic data in internal systems
Perform quality reviews and data validation activities
Track, analyze, and report operational and regulatory metrics
Develop working knowledge of securities registration and licensing processes
Participate in process improvement initiatives, control enhancements, departmental projects, procedure development, and special projects
Serve as a resource for internal stakeholders as Licensing & Registration responsibilities evolve

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
Typically more than three years of applicable experience in insurance, licensing & registration, compliance, financial services, banking, or a related regulatory environment
Strong understanding of insurance licensing processes and regulatory requirements
Experience with a broker-dealer, registered investment adviser or insurance licensing and appointments
Working knowledge of FINRA Gateway, CRD, IARD, state insurance licensing systems, and carrier appointment platforms
Familiarity with advisor onboarding, registration, and licensing processes
Experience supporting audits, regulatory exams, or compliance reviews
Insurance licenses, FINRA registrations, or other compliance-related certifications
Demonstrated ability to work independently with minimal day-to-day supervision
Proven experience managing complex operational or regulatory processes from initiation through completion
Strong decision-making skills with the ability to identify issues, determine appropriate actions, and drive resolution
Ability to balance multiple priorities while maintaining accuracy, accountability, and regulatory compliance
Demonstrated ability to manage multiple priorities and competing deadlines
Strong organizational skills and exceptional attention to detail
Effective written and verbal communication skills
Proficiency in Microsoft Office Suite, including Excel, Word, and Outlook
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies

Benefits

Comp & perks

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
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension