Compliance & Licensing Specialist, Financial Services

Winged Keel Group; Minneapolis (MN); On-site; USD 65,000 - 110,000; Full time

Benefits offered by this job

Medical, dental, life, disability

401(k) and investment plan

Flexible Spending Account

Bonus eligibility

Job summary

Winged Keel Group is seeking an Associate, Compliance and Licensing to support broker-dealer and insurance operations. The role focuses on registrations, licenses, appointments, and regulatory compliance across the firm’s operations.

The successful candidate will coordinate state licenses, FINRA registrations, and E&O insurance coverage, while maintaining accurate records and assisting with annual reviews and reporting requirements.

Qualifications

• Bachelor’s degree required.
• 2-3 years of compliance, licensing, or operations experience in financial services.
• Familiarity with FINRA regulations, including OBA and PST reporting.
• Understanding of state insurance licensing and appointment processes.
• Experience with state registration systems and carrier contracting preferred.
• Strong organizational skills with attention to detail.
• Excellent written and verbal communication.

Responsibilities

• Track broker-dealer compliance reporting requirements and filings.
• Monitor OBA reporting guidance for registered reps.
• Monitor PST reporting guidance for registered reps.
• Coordinate onboarding of new employees with the broker-dealer.
• Process terminations and updates with the broker-dealer.
• Track CE completion and ensure compliance on schedule.
• Assemble materials for annual branch office reviews.
• Coordinate E&O insurance for broker-dealer operations.
• Research findings from branch office reviews and follow up.

Skills

Multi-stakeholder coordination

Attention to detail

Excellent communication

Education

Bachelor's degree

Tools

Microsoft Office Suite

Licensing & Compliance Management Systems

Job description

Winged Keel Group is seeking an Associate, Compliance and Licensing to support broker-dealer and insurance operations. The role focuses on registrations, licenses, appointments, and regulatory compliance across the firm’s operations.

The successful candidate will coordinate state licenses, FINRA registrations, and E&O insurance coverage, while maintaining accurate records and assisting with annual reviews and reporting requirements.