Licensing & Registration Specialist II
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.
Job Description
The Licensing & Registration Specialist II is responsible for supporting regulatory licensing, registration, appointment, and compliance activities for associated persons and firm entities. Initially focused on insurance licensing and carrier appointment administration, this role is designed to serve as a flexible Licensing & Registration resource with opportunities to expand into securities registration, regulatory reporting, onboarding, compliance support, process improvement initiatives, and other operational functions as business needs evolve.
This position requires a highly organized professional who can work independently, exercise sound judgment, and assume ownership of complex regulatory processes with minimal supervision. The successful candidate is expected to manage activities from initiation through completion, proactively identify and mitigate risks, resolve issues independently when appropriate, and ensure end-to-end processes are executed accurately without gaps, delays, or compliance concerns. The successful candidate will demonstrate strong analytical skills, regulatory awareness, and a willingness to broaden expertise across multiple Licensing & Registration disciplines.
Key Responsibilities:
Process Ownership & Operational Excellence
Assume end-to-end ownership of assigned licensing, registration, and appointment processes, ensuring timely and accurate execution from initiation through completion.
Independently identify process gaps, risks, bottlenecks, and compliance concerns and implement appropriate corrective actions.
Monitor downstream impacts of regulatory and operational activities to ensure all related tasks are completed and documented.
Serve as the primary point of accountability for assigned processes, escalating issues only when necessary and with recommended solutions.
Develop and maintain process documentation, controls, and procedure enhancements to support operational efficiency and regulatory compliance.
Partner with cross-functional stakeholders to drive resolution of complex issues while maintaining service level expectations and regulatory standards.
Insurance Licensing & Appointment Administration
Manage insurance licensing activities, including applications, renewals, amendments, and terminations for producers and entities.
Coordinate carrier appointment requests, renewals, transfers, and terminations while maintaining compliance with carrier and state requirements.
Monitor continuing education and license renewal requirements to support timely compliance.
Serve as a liaison between insurance carriers, BGAs, advisors, and internal business partners to resolve licensing and appointment issues.
Regulatory Compliance & Risk Management
Ensure compliance with applicable state insurance regulations, firm policies, and regulatory requirements.
Monitor regulatory updates and communicate impacts to stakeholders.
Maintain accurate regulatory records and documentation to support audit readiness.
Support regulatory examinations, compliance reviews, internal audits, and remediation efforts.
Onboarding, Maintenance & Operational Support
Support onboarding and offboarding activities, including licensing, appointments, registrations, and related regulatory filings.
Maintain licensing, appointment, registration, and demographic data within internal systems.
Perform quality reviews and data validation activities to ensure regulatory accuracy and completeness.
Track, analyze, and report operational and regulatory metrics.
Growth & Cross-Functional Responsibilities
Develop working knowledge of securities registration and licensing processes to support future business needs.
Participate in process improvement initiatives, control enhancements, and departmental projects.
Assist with procedure development, documentation maintenance, and operational effectiveness initiatives.
Serve as a resource for internal stakeholders and contribute to special projects as Licensing & Registration responsibilities evolve.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Typically more than three years of experience in insurance, licensing & registration, compliance, financial services, banking, or a related regulatory environment.
Core Competencies:
Independent Ownership & Accountability
End-to-End Process Management
Risk Identification & Mitigation
Sound Judgment & Decision Making
Process Control & Operational Excellence
Initiative and Self-Direction
Regulatory Accuracy & Attention to Detail
Preferred Skills/Experience
- 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.
- Strong understanding of insurance licensing processes and regulatory requirements.
- 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.
- 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.
The Licensing & Registration Specialist II plays a critical role in ensuring the organization maintains regulatory compliance while supporting business growth and advisor readiness. This position provides foundational expertise in insurance licensing and appointments while creating a development path into broader Licensing & Registration responsibilities, including securities registration, compliance operations, regulatory reporting, and strategic process improvement initiatives. The role directly contributes to audit readiness, regulatory risk mitigation, operational efficiency, and an enhanced advisor experience.
Location expectations
This role requires working from one of the U.S. Bank locations listed three (3) or more days per week.
If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
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
Review our full benefits available by employment status here.
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $75,820.00 - $89,200.00U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
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.
Posting may be closed earlier due to high volume of applicants.