Associate, Compliance and Licensing

• 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.
   

• 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.

• 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.

• 3-7 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.
• 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. 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.

• 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.