Full-time
Posted 8 days ago
Job description
Job Summary
The Manager of Licensing & Registration is responsible for overseeing all licensing, registration, and regulatory reporting activities supporting the Wealth Management organization. This role ensures timely, accurate, and compliant advisor registrations with FINRA, the SEC, and applicable state regulators, while leading a team that supports advisor onboarding, transitions, and ongoing regulatory maintenance.
The Manager serves as a key riskmanagement partner to Compliance, Legal, Operations, and Wealth Leadership, with accountability for process integrity, regulatory deadlines, and continuous improvement across licensing and registration workflows. This position is based onsite in our Urbandale, IA or Austin, TX office locations.
Primary Responsibilities
Licensing & Registration Oversight
Oversee all FINRA, SEC, and state licensing and registration activity for Wealth advisors and registered staff.
Ensure timely and accurate submission of U4, U5, BR, BD, and ADVrelated filings.
Maintain ongoing compliance with continuing education (CE), renewals, amendments, and regulatory updates.
Monitor regulatory deadlines to prevent late filings, deficiencies, or business disruptions.
Advisor Onboarding & Transitions
Partner with Wealth Onboarding, Transitions, Compliance, and Legal teams to support seamless advisor onboarding and brokerdealer/RIA transitions.
Ensure licensing and registration processes align with onboarding timelines and business objectives.
Serve as an escalation point for complex registrations, regulatory inquiries, or statespecific issues.
People & Process Leadership
Lead, coach, and develop the Licensing & Registration team to ensure high performance, accountability, and regulatory accuracy.
Establish clear roles, expectations, service standards, and workflows for the team.
Build scalable, documented processes to support current and future growth of the Wealth platform.
Risk Management & Compliance Partnership
Partner closely with Compliance and Legal to interpret and apply regulatory requirements.
Identify and mitigate licensingrelated risks that could impact firm standing, advisor productivity, or revenue.
Prepare reporting, insights, and updates for leadership related to licensing status, risks, trends, and capacity.
Operational Excellence & Continuous Improvement
Evaluate and improve systems, tools, and processes related to licensing, registration, and tracking.
Maintain accurate records, dashboards, and auditready documentation.
Drive continuous improvement initiatives to reduce cycle times, errors, and manual work.
CrossFunctional Collaboration
Act as a trusted partner to Wealth Leadership, Compliance, Legal, Operations, and People & Culture.
Support strategic initiatives tied to growth, acquisitions, and organizational changes impacting licensing.
Primary Skills & Qualifications
Bachelor's degree in business, finance, or related field preferred.
7+ years of experience in licensing, registration, compliance operations, or advisor onboarding within a brokerdealer, RIA, or wealth management environment.
Series 7 and 24 required.
Prior peoplemanagement experience strongly preferred.
Deep working knowledge of FINRA, SEC, and state licensing requirements and filings.
Experience managing U4/U5 filings, continuing education, regulatory reporting, and audits.
Strong attention to detail with the ability to manage complex, highrisk regulatory processes.
Proven ability to lead teams, manage priorities, and drive operational improvements.
Excellent written and verbal communication skills, including comfort communicating with senior leadership and regulators.
High level of professionalism, discretion, and sound judgment.
About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
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Frequently asked questions
Q: What skills or qualities help someone succeed as a Licensing Manager?
A: To succeed as a Licensing Manager, key technical skills include proficiency in contract negotiation, intellectual property law, and data analysis to track licensing agreements and revenue. Soft skills such as strong communication, negotiation, and problem-solving abilities are also crucial, as Licensing Managers must effectively collaborate with internal stakeholders, external partners, and vendors to secure and manage licensing agreements. These technical and soft skills enable Licensing Managers to effectively manage licensing portfolios, mitigate risks, and drive business growth, ultimately supporting their career advancement and effectiveness in the role.
Q: What is the career path for a Licensing Manager?
A: A Licensing Manager's typical career progression involves starting as a Licensing Coordinator or Assistant, where they assist in managing licensing agreements and contracts, before advancing to a Licensing Manager role, overseeing the negotiation and administration of licensing deals. As they gain experience, they may move into senior roles such as Senior Licensing Manager or Director of Licensing, where they lead teams and develop strategic licensing plans. Key opportunities for skill development include contract negotiation, business development, and intellectual property law, which can lead to long-term career prospects in leadership positions or specialized roles like Intellectual Property Counsel or Business Development Director.
