The Compliance team at Mariner helps develop the framework through which regulatory requirements are applied across the firm, including policies, training, and operational processes. Working collaboratively with teams across the organization, Compliance promotes consistency and clarity in how regulatory expectations are incorporated into day-to-day operations

The Licensing Associate at Mariner plays a key role in supporting the firm’s advisors and affiliates by ensuring accurate, timely, and compliant securities registrations and investment advisor licensing. This position is ideal for a detail-oriented professional who thrives in a fast-paced, business-focused environment and is passionate about delivering exceptional service to advisors through accountability and operational excellence.

Responsibilities

• Lead registered individuals through the onboarding process, including FINRA CRD pre-registration profiles, compliance questionnaires, and coordination of advisor exams, registrations, and required filings (U4/U5 and amendments).

• Maintain accurate and up-to-date licensing, registration, and associated person records across internal and external systems, ensuring consistency with regulatory requirements and internal due diligence standards.

• Review and analyze outside business activity requests, disclosures, business cards, letterhead, and IAR ADV 2B documents to identify potential conflicts and support regulatory compliance.

• Support Regulatory Element, state IAR continuing education requirements, and annual registration renewals to ensure licenses and registrations remain active and in good standing.

• Process branch registrations, changes, and terminations; assist with regulatory inquiries, examinations, and data requests; and coordinate the collection and preparation of required disclosure documentation.

• Assist in developing and updating procedures, checklists, and automated workflows to enhance efficiency, manage assigned special projects and escalations, and stay current on regulatory initiatives that may impact policies or procedures.

Qualifications

• 2 plus years of licensing experience in a financial services company

• Series 65 preferred

Skills

• Demonstrated understanding of FINRA, SEC, and state regulatory requirements related to licensing and registrations.

• Highly organized with strong attention to accuracy and the ability to manage multiple priorities simultaneously.

• Professional written and verbal communication skills with a collaborative, team-oriented approach.

• Strong analytical thinking and creative problem-solving abilities in a fast-paced, multi-dimensional environment.

#LI-ML1

We welcome your interest in being a part of our firm. We believe in giving associates progressive opportunities, actively nurturing professional growth and giving back to the community. We are dedicated to building a diverse culture where everyone has the support they need to achieve their career goals. We offer an innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance.

EOE M/F/D/V