Compliance and Licensing Associate

🔥 4 minutes ago

🇺🇸 United States – Remote

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

👻 Ghost score 15%

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Winged Keel Group

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 1989

💼 Consulting

💸 Finance

🛡️ Insurance

Consulting • Finance • Insurance

Winged Keel Group is an independent life insurance brokerage firm that specializes in the structuring and long-term administration of large life insurance portfolios for ultra-affluent families. Founded in 1989, the company is known for its unbiased advice and domain expertise in life insurance products and planning structures, enabling clients to achieve their long-term financial goals. With a focus on independence and robust infrastructure, Winged Keel Group is dedicated to providing high-quality service and support throughout the life of a client's insurance portfolio, fostering long-term relationships and ensuring continuity of service across generations.

📋 Description

• 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

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