Compliance and Licensing Associate
Employment Information
Report this job
Job expired or something wrong with this job?
Job Description
Compliance and licensing associate supporting Winged Keel Group’s life insurance and broker-dealer operations. Managing registrations, insurance appointments, regulatory filings, and compliance records.
Responsibilities:
- Track the firm's broker-dealer compliance reporting requirements and ensure timely submission of required filings
- Monitor and guide registered representatives on reporting Outside Business Activities (OBAs) and Private Securities Transactions (PSTs)
- Coordinate onboarding registrations and process employee terminations and updates with the broker-dealer
- Track employee Continuing Education (CE) completion and follow up as needed
- Assemble materials for annual branch office reviews and coordinate follow-up on review findings
- Process agent changes and block transfers with insurance carriers
- Apply for, track, and renew firm and individual state insurance licenses, registrations, and carrier appointments
- Manage FINRA state registrations for applicable registered representatives
- Complete contracting paperwork with new insurance carriers
- Manage offshore resources responsible for carrier appointments
- Ensure applicable representatives are covered under annual Errors & Omissions (E&O) insurance renewals
- Coordinate E&O insurance for offshore brokerage operations
- Ensure marketer retirement agreements are recorded and implemented by the broker-dealer
- Document compliance and licensing processes and update procedures
- Maintain accurate records in compliance management systems and licensing databases
- Ensure data integrity across CRM, broker-dealer portal, and state licensing systems
- Generate reports on licensing status, CE completion, and compliance metrics for management review
- Maintain organized tracking systems for licensing, registration, and compliance activities
- Identify process improvements and operational efficiencies
- Serve as a resource for internal teams on compliance and licensing requirements
- Interact with registered representatives, broker-dealer personnel, insurance carriers, and regulatory bodies
Requirements:
- Bachelor’s degree required
- 2-3 years of experience in compliance, licensing, or operations within the financial services industry
- Prior broker-dealer compliance and/or licensing experience strongly preferred
- Familiarity with FINRA regulations, including OBA and PST reporting requirements
- Understanding of state insurance licensing and appointment processes
- Experience with state registration systems and carrier contracting preferred
- Strong organizational skills with exceptional attention to detail
- Experience utilizing AI for project based work
- Ability to manage multiple priorities and deadlines in a fast-paced environment
- Excellent written and verbal communication skills
- Proficiency with Microsoft Office Suite; experience with licensing and compliance management systems a plus
- Self-motivated with ability to work independently and collaboratively
- Required to work on a computer for a substantial part of the day
- A strong fundamental skillset in the above areas from the outset
Benefits:
- Eligible for annual performance-based bonus
- Comprehensive benefit package including medical, dental, life, disability, 401(k), Flexible Spending Account, and other voluntary benefits
Similar Jobs
Consultant, Control & Compliance – Managed Services
Consultant managing end-to-end accounting, reporting, and controls for KPMG clients. Delivering financial administration and operational transformation through Managed Services.
Senior Director, Global Regulatory Lead
Senior regulatory leader advancing Perspective Therapeutics’ radiopharmaceutical clinical programs and commercial launches. Leading global strategies, submissions, health authority interactions, and regulatory teams.
Global Trade Compliance Consultant
Global Trade Compliance Consultant supporting U.S. import compliance for Mallory Alexander, a full-service third-party logistics provider. Advising on customs classification, trade remedies, audits, and duty minimization.
Head of Custody & Compliance
Head of Custody & Compliance leading crypto custody, AML/KYC, and digital asset operations. Building secure, scalable financial infrastructure with engineering, legal, product, and executive teams.
Senior Compliance Analyst – Marketplace Compliance
Senior Compliance Analyst supporting Centene’s healthcare regulatory and compliance programs. Managing audits, reporting, policies, and regulatory agency relationships remotely across the Continental United States.
Analista de Cumplimiento Senior
Senior Compliance Analyst supporting EZCORP’s pawn-lending business with AML, KYC, testing, monitoring, and regulatory reporting. Based remotely in Guatemala.
Compliance Manager – Monitoring & Investigations
Compliance Manager leading AML transaction monitoring, blockchain investigations, and market surveillance. Supporting regulatory reporting for Ondo Finance’s tokenized investment products and digital-asset operations.
Senior Compliance Associate
Compliance Senior Associate supporting AML, KYC, OFAC, surveillance, risk assessments, and regulatory examinations. Helping Ondo Finance maintain compliance for blockchain-enabled investment products and tokenized funds.
Compliance Specialist
Compliance Specialist supporting audits, licensing, reporting, and quality improvement for Recover’s addiction and mental healthcare programs. Ensuring regulatory compliance and accurate data across California operations.
Senior Regulatory and Start Up Specialist, Mexico
Senior regulatory specialist launching clinical trial sites in Mexico for Precision Medicine Group, a clinical research organization. Managing submissions, essential documents, ethics approvals, and site activation readiness.
Senior Regulatory and Start Up Specialist, Mexico
Senior regulatory specialist launching clinical trials for Precision for Medicine in Mexico. Managing submissions, essential documents, site activation and regulatory compliance.
Senior Director, Regulatory CMC
Senior Director leading regulatory CMC strategy for Centessa’s small-molecule medicines. Overseeing global submissions, CDMOs, late-stage development, and NDA-enabling activities.
Senior Director, Regulatory CMC
Senior Director leading Regulatory CMC strategy for Centessa Pharmaceuticals’ small-molecule medicines. Overseeing global submissions, late-stage development, CDMOs, and manufacturing readiness.
Manager, CIP Compliance
CIP compliance manager leading NERC monitoring, audits, and risk-based programs for NPCC’s electric utility stakeholders. Supervising teams and coordinating regulatory engagements across the United States and Canada.
Senior Manager, Regulatory Affairs, Advertising & Promotion
Senior Regulatory Affairs Manager guiding pharmaceutical advertising and promotion compliance at Regeneron. Advising commercial, medical, legal, and FDA stakeholders across marketed and pipeline products.
Manager, Regulatory Affairs, Advertising & Promotion
Regulatory affairs manager guiding U.S. pharmaceutical advertising and promotion compliance at Regeneron. Advising commercial, medical, legal, and FDA stakeholders on product communications.
Senior Compliance Analyst – Advertising Review
Senior Compliance Analyst reviewing retail communications for Cetera Financial Group, a network of independent financial advisors. Ensuring compliance with FINRA, SEC, and firm policies.
Fabrication Oversight Representative, Electrical Controls & Compliance Specialist
Electrical controls specialist overseeing supplier fabrication, panel compliance, and functional testing for TerraPower’s advanced nuclear technology. Ensuring equipment meets engineering, quality, and code requirements.
Retail Compliance and QC Analyst
Retail compliance analyst managing deposit regulations, risk controls, and quality assurance for Origin Bank. Monitoring audits, regulatory changes, deficiencies, reports, and banker training.
Senior Quality Compliance Manager
Quality Compliance Senior Manager leading Amgen’s Quality Intelligence Center. Governing quality signals, risk insights, and compliance oversight for innovative medicines.