Compliance and Licensing Associate

Firm Summary: Winged Keel Group is the premier national platform for the structuring, implementation, and administration of high-end life insurance solutions. With eleven offices nationwide, the firm specializes in Traditional Life Insurance, Business Continuation Insurance, Private Placement Life Insurance and Annuities, and Corporate-Owned Life Insurance portfolios. Position Summary: 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 filingsMonitor and ensure registered representatives report all applicable Outside Business Activities (OBAs), providing clear instructions and guidance on reporting proceduresMonitor and ensure registered representatives report all applicable Private Securities Transactions (PSTs), providing clear instructions and guidance on reporting proceduresCoordinate onboarding of new employees with the broker-dealer, ensuring appropriate registrations are completedProcess terminations and updates with the broker-dealer when employees leave the firmTrack employee Continuing Education (CE) completion and follow up as needed to ensure requirements are met on scheduleAssemble and provide materials requested by the broker-dealer in advance of annual branch office reviewsResearch and coordinate follow-up on findings from branch office reviewsProcess 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 appointmentsManage FINRA state registrations for applicable registered representativesComplete and file contracting paperwork as needed with new insurance carriersManage offshore resource responsible for carrier appointmentsEnsure applicable registered representatives are covered under annual Errors & Omissions (E&O) insurance renewalsEnsure applicable registered representatives are covered under annual Errors & Omissions (E&O) insurance renewalsCoordinate E&O insurance for offshore brokerage operationsEnsure 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 applicableMaintain accurate records in compliance management systems and licensing databasesEnsure data integrity across multiple systems including CRM, broker-dealer portal, and state licensing systemsGenerate reports on licensing status, CE completion, and compliance metrics for management reviewMaintain organized records and tracking systems for all licensing, registration, and compliance activitiesIdentify opportunities for process improvements and operational efficienciesServe as a resource for internal teams on compliance and licensing questions and requirements Qualifications: Bachelor’s degree required2-3 years of experience in compliance, licensing, or operations within the financial services industryPrior broker-dealer compliance and/or licensing experience strongly preferredFamiliarity with FINRA regulations, including OBA and PST reporting requirementsUnderstanding of state insurance licensing and appointment processesExperience with state registration systems and carrier contracting preferredStrong organizational skills with exceptional attention to detailExperience utilizing AI for project based workAbility to manage multiple priorities and deadlines in a fast-paced environmentExcellent written and verbal communication skillsProficiency with Microsoft Office Suite; experience with licensing and compliance management systems a plusSelf-motivated with ability to work independently and collaboratively Working Conditions/Demands/Complexity: Required to work on a computer for a substantial part of the dayA 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 environmentInteraction 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 experienceEligible for annual performance-based bonusComprehensive benefit package includes medical, dental, life, disability, 401(k), Flexible Spending Account, and other voluntary benefits Powered by JazzHR 9feT4uG3hT