[Hiring] Compliance and Licensing Associate @Winged Keel Group

Role Description

The Associate, Compliance and Licensing provides critical operational support for the firm's compliance and licensing functions across both broker-dealer and insurance operations. This role ensures that representatives maintain proper registrations, licenses, and appointments while supporting the firm's regulatory compliance obligations. The Associate works closely with internal teams, the firm's broker-dealer, insurance carriers, and regulatory bodies to maintain seamless compliance operations and licensing administration.

Position Responsibilities

• Broker-Dealer Compliance Support
  • Track the firm's broker-dealer compliance reporting requirements and ensure timely submission of all required filings.
  • Monitor and ensure registered representatives report all applicable Outside Business Activities (OBAs), providing clear instructions and guidance on reporting procedures.
  • Monitor and ensure registered representatives report all applicable Private Securities Transactions (PSTs), providing clear instructions and guidance on reporting procedures.
  • Coordinate onboarding of new employees with the broker-dealer, ensuring appropriate registrations are completed.
  • Process terminations and updates with the broker-dealer when employees leave the firm.
  • Track employee Continuing Education (CE) completion and follow up as needed to ensure requirements are met on schedule.
  • Assemble and provide materials requested by the broker-dealer in advance of annual branch office reviews.
  • Research and coordinate follow-up on findings from branch office reviews.
  • Process agent changes and block transfers with insurance carriers for both existing and acquired agents and agencies.
• Licensing and Appointment Administration
  • Apply for, track, and renew firm and individual state insurance licenses, registrations, and carrier appointments.
  • Manage FINRA state registrations for applicable registered representatives.
  • Complete and file contracting paperwork as needed with new insurance carriers.
  • Manage offshore resource responsible for carrier appointments.
  • Ensure applicable registered representatives are covered under annual Errors & Omissions (E&O) insurance renewals.
  • Coordinate E&O insurance for offshore brokerage operations.
  • Ensure applicable marketer retirement agreements are recorded and implemented by the broker-dealer.
• Process Management and Documentation
  • Document all compliance and licensing processes and update procedures when applicable.
  • Maintain accurate records in compliance management systems and licensing databases.
  • Ensure data integrity across multiple systems including CRM, broker-dealer portal, and state licensing systems.
  • Generate reports on licensing status, CE completion, and compliance metrics for management review.
  • Maintain organized records and tracking systems for all licensing, registration, and compliance activities.
  • Identify opportunities for process improvements and operational efficiencies.
  • Serve as a resource for internal teams on compliance and licensing questions and requirements.

Qualifications

• 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.

Working Conditions/Demands/Complexity

• Required to work on a computer for a substantial part of the day.
• A strong fundamental skillset in the above areas from the outset. Candidate will have a unique opportunity to apply and grow these skills in a highly productive, successful, and challenging environment.
• Interaction with multiple internal and external stakeholders including registered representatives, broker-dealer personnel, insurance carriers, and regulatory bodies.

Compensation / Benefits

• Attractive annual compensation package is commensurate with experience.
• Eligible for annual performance-based bonus.
• Comprehensive benefit package includes medical, dental, life, disability, 401(k), Flexible Spending Account, and other voluntary benefits.