Compliance and Licensing Associate

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