About the job
E.A. Buck is a fast-growing financial services company with dual headquarters in Denver and Honolulu. We’re seeking a
Compliance Specialist
to join our growing team! The Compliance Specialist is responsible for maintaining and administering the E.A. Buck Compliance Program and facilitating the licensing and contracting process for new and existing financial advisors. Candidate will be based in Denver, CO.
Full-time position, working on-site
at 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 Director of Compliance.
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 Director of Compliance 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 Director of Compliance 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
Must be able to work in the office Monday - Friday.
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
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Compliance Specialist
to join our growing team! The Compliance Specialist is responsible for maintaining and administering the E.A. Buck Compliance Program and facilitating the licensing and contracting process for new and existing financial advisors. Candidate will be based in Denver, CO.
Full-time position, working on-site
at 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 Director of Compliance.
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 Director of Compliance 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 Director of Compliance 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
Must be able to work in the office Monday - Friday.
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
#J-18808-Ljbffr