Manager, Licensing & Registration

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

• Bachelors 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 nations 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 youll love and well love you back. Were proud of the work we do and the culture weve 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. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit .

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 addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.