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.
