Compliance, Licensing & Contracting Specialist

Job description

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.

Job Requirements:

• Bachelor’s Degree
• Two years minimum of Financial Industry Experience, five years preferred.
• Series 65 OR Series 7 combined with 63 or 66 – Required
• Self-Directed
• Self-Motivated
• Strong Interpersonal Communications Skills
• Detail Oriented
• Organizational Skills
• Analytical
• Basic Computer Skills.