Winged Keel Group · 2 days ago
Associate, Compliance and Licensing
Boston, MA
Full-time
Onsite
Mid, Senior Level
3+ years expWinged Keel Group is the premier national platform for high-end life insurance solutions. The Associate, Compliance and Licensing provides operational support for compliance and licensing functions, ensuring that representatives maintain proper registrations and licenses while supporting regulatory compliance obligations.
BankingFinancial ServicesVenture Capital
Responsibilities
Track the firm's broker-dealer compliance reporting requirements and ensure timely submission of all required filings
Monitor and ensure registered representatives report all applicable Outside Business Activities (OBAs), providing clear instructions and guidance on reporting procedures
Monitor and ensure registered representatives report all applicable Private Securities Transactions (PSTs), providing clear instructions and guidance on reporting procedures
Coordinate onboarding of new employees with the broker-dealer, ensuring appropriate registrations are completed
Process terminations and updates with the broker-dealer when employees leave the firm
Track employee Continuing Education (CE) completion and follow up as needed to ensure requirements are met on schedule
Assemble and provide materials requested by the broker-dealer in advance of annual branch office reviews
Research and coordinate follow-up on findings from branch office reviews
Apply for, track, and renew firm and individual state insurance licenses, registrations, and carrier appointments
Manage FINRA state registrations for applicable registered representatives
Complete and file contracting paperwork as needed with new insurance carriers
Manage offshore resource responsible for carrier appointments
Ensure applicable registered representatives are covered under annual Errors & Omissions (E&O) insurance renewals
Coordinate E&O insurance for offshore brokerage operations
Ensure applicable marketer retirement agreements are recorded and implemented by the broker-dealer
Document all compliance and licensing processes and update procedures when applicable
Maintain accurate records in compliance management systems and licensing databases
Ensure data integrity across multiple systems including CRM, broker-dealer portal, and state licensing systems
Generate reports on licensing status, CE completion, and compliance metrics for management review
Maintain organized records and tracking systems for all licensing, registration, and compliance activities
Identify opportunities for process improvements and operational efficiencies
Serve as a resource for internal teams on compliance and licensing questions and requirements
Qualification
Required
Bachelor's degree required
3-7 years of experience in compliance, licensing, or operations within the financial services industry
Strong organizational skills with exceptional attention to detail
Ability to manage multiple priorities and deadlines in a fast-paced environment
Excellent written and verbal communication skills
Proficiency with Microsoft Office Suite; experience with licensing and compliance management systems a plus
Self-motivated with ability to work independently and collaboratively
Preferred
Prior broker-dealer compliance and/or licensing experience strongly preferred
Familiarity with FINRA regulations, including OBA and PST reporting requirements
Understanding of state insurance licensing and appointment processes
Experience with state registration systems and carrier contracting preferred
Benefits
Medical
Dental
Life
Disability
401(k)
Flexible Spending Account
Other voluntary benefits
Company
Winged Keel Group
Winged Keel Group is a financial services company specializing in structuring and administration of insurance portfolios.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
unknown2025-01-13Acquired
Recent News
Morningstar.com
2025-09-29
Company data provided by crunchbase