Sr. Onboarding Manager, Licensing & Registration

Brokerage Operations Leadership Opportunity in Financial Services

Senior Onboarding Manager, Licensing & Registration

Location(s):                 20 E Thomas Rd, #2000, Phoenix, AZ 85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

7755 Third Street North, Oakdale, MN  55128

12325 Port Grace Boulevard, La Vista, NE 68128

Role Type:                   Full-Time (On-site in one of the 4 locations)


The Licensing & Registration Onboarding Manager is responsible for all aspects of production and service delivery for the L&R Onboarding team. Our ideal candidate ensures the quality and timeliness in service delivery. The manager will be responsible for supporting the processors and answering related questions to onboarding new financial professionals (FPs) and staff, and explaining policies and procedures set forth by the broker dealer. Topics of requests may include firm and state licensing & registration requirements, necessary tasks to onboarding new FPs, and how to operation the firms onboarding systems. You will be required to establish a rapport with the top financial professionals in the financial industry within the Osaic family. The Licensing & Registration Manager is also responsible for development and performance management of all team personnel; and helps to oversee the firm’s onboarding systems & tools.


  • Directly manage 7-10 employees within the Licensing & Operations Department.
  • Carry out managerial duties in accordance with the organization’s policies and applicable laws.
  • Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.
  • Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
  • Continually seek out and implement efficiencies and service/process enhancements. Actively analyses problems, determine casual factors, and implement corrective actions. Exercise strong problem solving and decision-making skills.
  • Resolve complex escalations, make decisions, and ensure prompt follow-up when needed.
  • Ensure all desk top procedures are accurate and up to date.
  • Determine and manage staffing levels for the team; select candidates for open positions, conduct interviews and work with the Operations leader to extend employment offers to highly qualified individuals.
  • Manage cross-organizational projects and demonstrate negotiating skills. Must be able to build effective business relationships with internal departments, financial advisors, and external service providers.
  • Accountable for staff and team development by providing the tools and training need to achieve success. Provide career planning, goal setting, and coaching support to team members.
  • Provide performance feedback for performance reviews and assist with establishing meaningful and relevant performance objectives.
  • Enforce department budget and ensure cooperation occurs within budget guidelines. Work with direct manager to identify budget line items and plan for the budget year.
  • This role requires someone who is self-motivated and can motivate others.  This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately. This role requires the ability to identify when action is necessary to ensure adherence to policies and procedures and to meet goals.
  • All other duties as assigned.

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 5+ years industry experience inclusive of two years in a management role
  • High level of proficiency in Microsoft Excel, Word, Power Point, Outlook, and Internet Explorer.
  • Must quickly learn all internal systems: Firm’s onboarding systems, Salesforce, BIG fingerprinting system, RegEd Compliance System, FINRA’s WebCRD system, Experian Credit Pull system.
  • Must be able to acquire and retain knowledge of securities industry rules and have strong organizational and time management skills.
  • Must be team-oriented and client-focused.

Preferred Requirements:

  • FINRA Series 7 preferred
Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.


Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.