Compliance Specialist

E.A. Buck is a fast-growing financial services company with dual headquarters in Denver and Honolulu. We’re seeking a Compliance Specialist to join our growing team! The Compliance Specialist is responsible for maintaining and administering the E.A. Buck Compliance Program and facilitating the licensing and contracting process for new and existing financial advisors. Candidate will be based in Denver, CO.

This position is a full-time position, working on-site at 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

• Facilitate licensing and contracting for new advisors and staff, ensuring all onboarding requirements are completed accurately and on time.
• Coordinate licensing and contracting for existing advisors when new products or carriers are introduced.
• Maintain and manage accurate licensing and contracting records for all representatives across insurance and securities by state.
• Review marketing and advertising materials to ensure compliance with federal and state financial regulations and internal policies.
• Verify that product descriptions, disclosures, disclaimers, and promotional claims are accurate and meet regulatory standards.
• Identify potential compliance risks in marketing content and recommend revisions to ensure regulatory compliance.
• Monitor regulatory updates from agencies such as FINRA, SEC, CFPB, and FTC to ensure ongoing compliance in advertising and business practices.
• Maintain required compliance records, blotters, and regulatory filings, ensuring documentation is accurate and up to date.
• Assist with regulatory audits, inquiries, and annual compliance reviews, preparing documentation and supporting responses.
• Conduct internal compliance training, compliance testing, and oversight of business activities to identify and mitigate regulatory or reputational risks.

Job Requirements:

• Bachelor’s Degree required
• Two years minimum of Financial Industry Experience, five years preferred.
• Series 65 or Series 7 combined with 63 or 66 preferred.

• Job offer is contingent upon successful completion of a background investigation, inclusive of fingerprinting and reference checks