Compliance and Licensing Associate
Get new jobs like this one by email. Create a free account for job alerts and to save the jobs you like.
Job Summary
Providing critical operational support, the full-time remote Compliance and Licensing Associate will manage compliance and licensing functions across broker-dealer and insurance operations, ensuring proper registrations and adherence to regulatory obligations.
Key responsibilities
- Track and ensure timely submission of broker-dealer compliance reporting requirements and monitor Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) for registered representatives
- Apply for, track, and renew state insurance licenses and registrations, managing FINRA state registrations for applicable representatives
- Document compliance and licensing processes, maintain accurate records in management systems, and identify opportunities for process improvements
Required qualifications
- Bachelor's degree required
- 2-3 years of experience in compliance, licensing, or operations within the financial services industry
- Prior broker-dealer compliance and/or licensing experience strongly preferred
- Familiarity with FINRA regulations and understanding of state insurance licensing processes
- Experience utilizing AI for project-based work and proficiency with Microsoft Office Suite
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 39,098 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
