Licensing Specialist

The Securities Licensing Operations Specialist supports the full licensing process for Life/Health and Securities candidates, from enrollment and exam registration through results and next steps. The specialist coordinates licensing activities, answers field inquiries, manages exam registrations, and maintains licensing records and reporting. They are a primary operational resource for candidates, Field Managers, Service, and Home Office partners. The role runs the Securities Industry Essentials (SIE) program, initiates all follow-on securities exams, and supports licensing incentive and mandate programs, helping new agents get licensed and onboarded on time while staying compliant with FINRA regulations and company requirements. It is a high-volume role handling about 150–200 inquiries per day across phone and email, so it calls for strong customer service, excellent organization, close attention to detail, and the ability to manage competing priorities.Key ResponsibilitiesLicensing coordination and enrollmentPrepare and organize licensing materials and enroll agents in themManage the full SIE licensing process for first-time candidates and retakersInitiate registrations for Series 6, 7, 63, and 66 exams, including retakesTrack candidate progress through the licensing pipeline and take the steps needed to keep timelines on trackScheduling and communicationsCreate schedules for upcoming licensing classes and manage the licensing calendarSend communications about upcoming licensing classesSend follow-up emails to participantsSend reminders and next steps after exam resultsInquiry and customer supportHandle a high volume of inbound and outbound calls and emails from candidates, agents, Service, Field Managers, and Home Office partnersAnswer questions on licensing requirements, exam windows, study materials, bonus credit confirmations, Prometric scheduling, FINRA processes, and general licensing topicsRecords, reporting, and process improvementMaintain and reconcile licensing records across multiple systems, including FINRA reports, STC Study Progress, licensing dashboards, and internal tracking toolsFulfill reporting requests and give accurate licensing information to business partners and field leadershipFind and fix licensing issues to avoid delays in candidate progressMaintain process documentation and support continuous improvement in licensing operationsRequirementsStrong customer support and customer service experienceAbility to professionally manage a high volume of inbound and outbound callsExcellent phone etiquette, clear verbal communication, and active listeningCustomer-focused demeanorStrong organizational skills and close attention to detailAbility to manage competing priorities in a fast-paced, high-volume environmentKnowledge of FINRA regulationsBusiness ImpactTimely onboarding of new agentsEfficient progress through the securities licensing processAccurate administration of securities licensing requirementsSupport for licensing incentive and mandate programsResponsive service to candidates, Field Managers, Service, and Home Office partnersAccurate reporting and maintenance of licensing recordsFewer operational delays and licensing-related processing issues