Summary

The Insurance Licensing Compliance Analyst I prepares and processes all insurance related licensing for the Firm and its licensed individuals. This includes, but is not limited to: initial licensing requests, renewal and amended licensing requests, business entity affiliations and terminations, carrier appointments and terminations, report background issues to the regulators, assist and track CE and insurance training for the agents, process address changes, and maintain knowledge of government (local, state, and federal) regulations.

Essential Duties & Responsibilities

• Process, document, and maintain all producer licensing applications, continuing education, and training requirements for licensed staff.
• Administer appointment applications to obtain carrier appointments and affiliations for producers and provide support to leadership during onboarding of new carriers and vendors.
• Continuously monitor multiple state agencies for new or revised regulatory requirements to ensure proper compliance for producer licensing.
• Order material and schedule pre-licensing exams and training for all new hires.
• Correspond with state Departments of Insurance and Insurance Carriers as needed.
• Analyze and identify issues and trends for improved process and controls.
• Develop and track improvement or remediation plans.

Qualifications

• Strong knowledge of NIPR, SBS, RegEd, and SIRCON systems.
• Working knowledge of laws and/or regulations within the State(s) Departments of Insurance regarding Insurance Licensing.
• Ability to investigate and recognize violations of state laws or regulations as they pertain to Insurance Licensing.

Education & Experience

• Bachelor’s Degree or or equivalent experience
• 3+ years’ experience in Financial Services Industry

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success – and 26 years of continual growth – is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.