Note: The job is a remote job and is open to candidates in USA. Group 1001 is a consumer-centric, technology-driven family of insurance companies focused on delivering outstanding value and operational performance. The Licensing & Commissions Operations Consultant will serve as a subject matter expert and operational lead, overseeing licensing and commission functions, ensuring compliance, and driving process efficiency.
Responsibilities
- Oversee and advise on the full broker licensing lifecycle, including individual and mass broker updates, state appointments, training compliance, and termination processing across all jurisdictions
- Support commission operations, helping ensure accurate, timely, and compliant payment processing, reconciliation, and reporting for producers and distribution partners
- Execute nationwide licensing reconciliation and state appointment reporting to maintain regulatory accuracy and audit readiness
- Serve as a subject matter expert (SME) and key point of contact for licensing and commission-related inquiries from internal stakeholders, producers, and state regulators
- Lead and advise on the execution of block transfers of business between broker-dealers, firms, or distribution partners — including data validation, contract realignment, appointment updates, commission redirection, and producer/client communications
- Support the operational impact of firm mergers, acquisitions, and rebranding events, helping ensure seamless transition of producer hierarchies, licensing records, appointments, and commission structures with minimal disruption to in-force business
- Direct and oversee mass producer changes — including bulk hierarchy moves, broker-dealer changes, channel realignments, name/entity changes, and large-scale terminations or appointments — with robust controls, audit trails, and reconciliation against internal systems and state records
- Contribute to the development of standardized playbooks, checklists, and project documentation for block transfer and merger events to ensure consistent, repeatable, and compliant execution
- Partner with Legal, Compliance, Distribution, IT, and external counterparties to coordinate timing, data exchanges, and regulatory notifications associated with these high-impact events
- Help maintain strong producer and firm communication protocols before, during, and after transitions
- Contribute to initiatives that enhance licensing, appointment, and commission systems so they match or exceed the capabilities offered by industry competitors
- Partner with IT and product owners to identify gaps in current platforms and help shape the design and prioritization of system enhancements — including capabilities that support efficient block transfers, mergers, and mass change events
- Champion automation and workflow improvements to reduce manual effort, accelerate processing, and improve data accuracy across licensing and commission functions
- Help benchmark internal capabilities against peer firms and inform the roadmap for closing capability gaps
- Help maintain and improve standardized operating procedures that remove redundancies, improve oversight, and enable scalable automation
- Identify bottlenecks across the licensing-to-commission value chain and recommend workflow improvements that increase throughput, accuracy, and compliance integrity
- Support performance and control frameworks that drive SLA adherence, audit readiness, and regulatory examinations
- Partner with the call center team to support efficiency improvements, including knowledge base development, self-service enablement, and first-call resolution
- Maintain regulatory reference materials and SME content that empower call center representatives to resolve producer and broker inquiries quickly and accurately — particularly during block transfer, merger, and mass change events that drive elevated call volume
- Analyze call drivers tied to licensing, appointments, and commissions, and help execute root-cause solutions that reduce inbound volume and improve producer experience
- Execute the state appointment renewal review process, ensuring timely renewals, accurate fee remittance, and alignment with state-specific regulatory requirements
- Reconcile appointment records across internal systems of record (licensing platform, commission system, agent/producer database, CRM) to eliminate data discrepancies and ensure a single source of truth
- Maintain ongoing monitoring routines to detect and resolve misalignments between internal systems and state regulator records (NIPR/state DOI feeds), with heightened controls following block transfers, firm mergers, and mass producer changes
- Manage day-to-day partnership with outsourced licensing, commission, and call center vendors, helping ensure partners meet SLAs, quality standards, and compliance requirements
- Support continuous improvement with outsourcing partners — helping refine playbooks, escalation paths, and quality assurance processes
- Maintain clear, consistent communication routines with outsourcing vendors, including operational check-ins, performance tracking, issue escalation, and change communication
- Coordinate outsourcing partner readiness ahead of large-scale block transfer, merger, and mass producer change events
- Ensure licensing and commission activities comply with applicable federal and state regulations, including state insurance department requirements and FINRA/SEC rules where relevant
- Support quarterly internal examinations, SOX/SOC1 controls, supervisory frameworks, and external audits with thorough documentation and process integrity
- Partner with Compliance, Legal, and Internal Audit to help mitigate risk and strengthen the control environment
- Serve as a go-to expert and informal mentor to team members on licensing, appointments, commissions, and complex change events
- Provide guidance, training, and knowledge transfer to peers and junior staff
- Foster a culture of accountability, continuous improvement, and producer/broker focus
Skills
- 6–8 years of progressive experience in insurance, annuity, or retirement products operations, with significant focus on licensing, appointments, and/or commissions
- 2–3 years in a senior, lead, or SME role with informal mentoring or coordination responsibility
- Hands-on experience supporting block transfers, firm mergers, and mass producer change events in an annuity or insurance environment
- Demonstrated experience contributing to workflow automation and system enhancement initiatives, with measurable efficiency outcomes
- Solid knowledge of state insurance licensing and appointment requirements, NIPR processes, and producer onboarding lifecycles
- Experience coordinating with outsourced operations vendors, including SLA tracking and performance follow-up
- Working knowledge of regulatory and compliance frameworks (e.g., Regulation 60, CIP, SOX/SOC1, 38a-1, supervisory controls)
- Strong communication, stakeholder coordination, and cross-functional collaboration skills
- Bachelor's degree in Business, Finance, or related field (or equivalent experience)
- Securities Industry Essentials (SIE) certification
- Series 6 designation; Series 26 (Registered Principal) is a plus
- Experience with annuity and group retirement products is preferred
Benefits
- Employees who meet benefit eligibility guidelines and work 30 hours or more weekly, have the ability to enroll in Group 1001’s benefits package.
- Employees (and their families) are eligible to participate in the Company’s comprehensive health, dental, and vision insurance plan options.
- Employees are also eligible for Basic and Supplemental Life Insurance, Short and Long-Term Disability.
- All employees (regardless of hours worked) have immediate access to the Company’s Employee Assistance Program and wellness programs—no enrollment is required.
- Employees may also participate in the Company’s 401K plan, with matching contributions by the Company.
Company Overview