Group 1001is a consumer-centric, technology-driven family of insurance companies on a mission to deliver outstanding value and operational performance by combining financial strength and stability with deep insurance expertise and a can-do culture. Group1001’s culture emphasizes the importance of collaboration, communication, core business focus, risk management, and striving for outcomes. This goal extends to how we hire and onboard our most valuable assets – our employees.
Why This Role Matters:
We are seeking an experienced Consultant, Licensing & Commissions Operations to serve as a subject matter expert and operational lead within our licensing, appointment, and commission functions. This role is responsible for coordinating day-to-day operations, driving process efficiency, supporting regulatory compliance, and helping align our systems and workflows with industry best practices and competitor benchmarks. The successful candidate will bring deep expertise in broker licensing lifecycles, state appointment management, commission administration, block transfers, firm mergers, mass producer changes, and workflow optimization within the annuity, life insurance, or retirement products space.
This consultant will partner across business units, technology, vendor management, and compliance teams to support system enhancements, contribute to call center efficiency initiatives, coordinate outsourced operations activity, and help build a scalable, audit-ready function.
How You'll Contribute:
Licensing & Commissions Operations
- 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.
Block Transfers, Firm Mergers & Mass Producer Changes
- 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.
System Enhancement & Competitive Alignment
- 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.
Workflow Enhancement & Process Governance
- 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.
Call Center Efficiency
- 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.
State Appointment Renewal Review & System Alignment
- 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.
Outsourcing Oversight, Improvement & Communication
- 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.
Compliance, Risk & Audit Readiness
- 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.
Mentorship & SME Leadership
- 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.
What We're Looking For:
- 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 Highlights:
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.
Group 1001, and its affiliated companies, is strongly committed to providing a supportive work environment where employee differences are valued. Diversity is an essential ingredient in making Group 1001 a welcoming place to work and is fundamental in building a high-performance team. Diversity embodies all the differences that make us unique individuals. All employees share the responsibility for maintaining a workplace culture of dignity, respect, understanding and appreciation of individual and group differences.
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