Hiring: Manager, Licensing & Registration Company: Integrity Location: Des Moines, IA Job Posted Time: 2026-09-10 13:26:40 Employment Type: On-site Target Skills & Keywords : Risk Management, Series 7, Wealth Management About the job Experience: •7+ years of experience in licensing, registration, compliance operations, or advisor onboarding within a broker‑dealer, RIA, or wealth management environment. Required Skills: •The Manager serves as a key risk‑management 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. •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 ADV‑related filings. •Maintain ongoing compliance with continuing education (CE), renewals, amendments, and regulatory updates. •Monitor regulatory deadlines to prevent late filings, deficiencies, or business disruptions. •Partner with Wealth Onboarding, Transitions, Compliance, and Legal teams to support seamless advisor onboarding and broker‑dealer/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 state‑specific issues. Qualifications: •Bachelor’s degree in business, finance, or related field preferred. •Prior people‑management experience strongly preferred. •Deep working knowledge of FINRA, SEC, and state licensing requirements and filings. •Strong attention to detail with the ability to manage complex, high‑risk 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. •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. •Is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead. Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!