Compliance, Licensing

7 days ago

Denver, United States E.A. Buck Financial Services Full time

Compliance, Licensing & Contracting Specialist


Overview:

E.A. Buck is a fast-growing financial services company with dual headquarters in Denver and Honolulu. We’re seeking a Compliance, Licensing & Contracting Specialist to join our growing team The Compliance, Licensing & Contracting Specialist is responsible for three areas of focus which are; maintaining and administering the E.A. Buck Compliance Program and facilitating the licensing and contracting process for new and existing planners. Candidate will be based in Denver, CO.


This position is a full-time, in-office position based out of our Denver office.


NOTE: Only people who are currently living in Colorado will be considered for this role.


Salary / Benefits Package:

Base Salary range of $60,000 to $80,000 per year, based on experience.

  • Competitive benefits package including 100% employer paid health, dental, and vision insurance.
  • Eligibility to enroll in health savings account, flexible savings account, and more
  • Paid vacation (PTO) and paid holidays.
  • Join our mission-driven company and partake in 401k with generous matching


Duties and Responsibilities

  • On-Boarding - Complete the licensing & contracting for onboarding of new planners and NRF staff members.
  • New Products - Complete the licensing & contracting of existing planners when onboarding new products and carriers.
  • Files - Complete all licensing & contracting files for all reps for both insurance and securities by state.
  • Business Activities - Proactively reviews business activities to identify potential regulatory, compliance and reputational risks.
  • Blotters - Maintains check, trade, and other blotters in adherence with policies and procedures.
  • Files - Maintains all compliance files.
  • Communications with Supervised Persons – Monitor developments in regulatory requirements and policies and procedures to provide direction for adherence to policies and procedures related to Ethics and Cybersecurity in coordination with the CCO.
  • Communications with the Public – Submits, tracks, and archives all required communications in adherence with policies and procedures.
  • Training - Leads and conducts internal training for departments on compliance standard.
  • Audits - Assists in the preparation of responses to regulatory inquiries and examinations.
  • Annual Compliance Review - Assists CCO in the annual compliance review.
  • Electronic Communications - Manage the email monitoring and archiving of electronic correspondence and social media platforms and the periodic review of e-mails and social media for adherence to policies and procedures.
  • Registration and Licensing Filings – Complete IAR registrations and updates, SEC RIA filings, state notice filings, state insurance licensing applications and renewals, and updates and amendments to the RIA’s Form ADV 1A, 2A and CRS.
  • NRF Staff – Complete all registration filings for NRF support staff.
  • Client Disputes - document client disputes in adherence with policies and procedures.
  • Supervising & Monitoring - Assist CCO in the supervision of business activities touching multiple business areas including vendors, BD, RIA & financial planning functions.
  • Series 65 OR Series 7 combined with 63 or 66 - preferred.


Job Requirements:

  • Bachelor’s Degree
  • Two years minimum of Financial Industry Experience, five years preferred.
  • Self-Directed
  • Self-Motivated
  • Strong Interpersonal Communications Skills
  • Detail Oriented
  • Organizational Skills
  • Analytical
  • Basic Computer Skills.

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