Jobs

Description

Job Title:  Licensing Specialist

Home Office – Hybrid – 3 Days/Week in office, Mon/Fri Remote; must be willing to commute, preferrably candidates in Westchester county are for communiting purposes.

Home Office Location: White Plains,NY 10601

Hours: 37.5 hour work week

Requirements:

• Prepare, organize and enroll agents into Licensing materials
• Answer questions on licensing by email
• Send out communications on upcoming licensing classes
• Manage licensing calendar and send out follow-up emails to participants
• Create schedules for upcoming licensing
• Send out reminders/next steps on exam results

Licensing Specialist:

Position Summary

• The Securities Licensing Operations Specialist supports the end-to-end licensing process for Life/Health and Securities candidates by coordinating licensing activities, responding to field inquiries, managing examination registrations, and maintaining licensing records and reporting.
• The role serves as a primary operational resource for candidates, field managers, Service, and Home Office partners, helping ensure candidates progress efficiently through the licensing process.

Primary Responsibilities

• Provide day-to-day operational support for Life/Health and Securities licensing activities.
• Respond to a high volume of inquiries from candidates, agents, Service, Field Managers, and Home Office partners regarding licensing requirements, exam windows, study materials, bonus credit confirmations, Prometric scheduling, FINRA processes, and general licensing questions.
• Manage the end-to-end Securities Industry Essentials (SIE) licensing process, including support for first-time candidates and retakers.
• Initiate registrations for Series 6, Series 7, Series 63, and Series 66 examinations, including retake registrations.
• Monitor candidate progress through the licensing pipeline and coordinate actions needed to maintain licensing timelines.
• Maintain and reconcile licensing records across multiple systems, including FINRA reports, STC Study Progress, licensing dashboards, and internal tracking tools.
• Support reporting requests and provide accurate licensing information to business partners and field leadership.
• Assist in identifying and resolving licensing issues to minimize delays in candidate progression.
• Maintain process documentation and support continuous improvement initiatives related to licensing operations.

Business Purpose

• This role supports the administration of the Securities Industry Essentials (SIE) program and the initiation of all subsequent securities licensing examinations.
• The position plays a critical role in ensuring candidates move efficiently through the licensing process while supporting compliance with company licensing requirements and regulatory timelines.
• The role also provides operational support for licensing incentive and mandate programs by maintaining accurate licensing information, responding to field inquiries, and ensuring timely processing of licensing activities.

Business Impact

This position directly contributes to:

• Timely onboarding of new agents.
• Efficient progression through the securities licensing process.
• Accurate administration of securities licensing requirements.
• Support of licensing incentive and mandate programs.
• Responsive service to candidates, field managers, Service, and Home Office partners.
• Accurate reporting and maintenance of licensing records.
• Reduction of operational delays and licensing-related processing issues.

Nature of the Work

• The position supports a high-volume operational environment, managing approximately 150–200 inquiries per day while coordinating multiple licensing activities across various systems and stakeholders.
• The work requires strong organizational skills, exceptional attention to detail, the ability to manage competing priorities, and excellent customer service skills while ensuring compliance with FINRA regulations and company licensing requirements.