Compliance Associate

AmeriLife•Tampa, FL

About The Position

The Compliance Associate is a member of the Compliance and Supervision Team supporting our affiliated firms: Florida Financial Advisors, LLC (SEC-registered investment adviser), Trinity Wealth Securities, LLC (FINRA member broker-dealer), and Florida Financial Insurance, LLC (licensed insurance agency). Our advisors are dually registered and insurance licensed, so this role works across advisory, brokerage, and fixed insurance business every day. As a registered Series 26 principal, the Compliance Associate reviews new business, supports our branch inspection program, manages registration and disclosure workflows, and serves as a day-to-day compliance resource for our advisors. The right candidate is organized, comfortable with high volume and recurring deadlines, and knows when a question needs to be escalated.

Requirements

Bachelor’s (Required)
FINRA Licenses (Required): SIE, Series 6 or Series 7, and Series 26; registrations must be current or eligible for re-registration without re-examination
Working knowledge of FINRA and SEC rules governing broker-dealers and investment advisers, including Regulation Best Interest, communications with the public, and outside activities
Experience with, or ability to quickly learn, FINRA Gateway/CRD/IARD, QuestCE, Global Relay, Comply, Orion/Schwab, and HubSpot
Sound judgment and discretion in handling confidential client and advisor information
Strong verbal and written communication skills, including the ability to explain compliance requirements to advisors in plain language
Highly organized, with the ability to manage a high volume of recurring deadlines and ensure adequate follow-up and closure on daily tasks and projects
Meticulous attention to detail
Must successfully complete the fingerprinting and background check required for FINRA registration

Nice To Haves

Series 65 or 66 (Preferred)
Life & Health Insurance License (Preferred)
Prior compliance, operations, or supervisory experience at a broker-dealer, investment adviser, or dual registrant (Preferred)

Responsibilities

Review new business across advisory, brokerage, and fixed insurance accounts for completeness, suitability, and good order; work NIGO items and corrections with advisors through resolution
Serve as a registered principal for the review and approval of investment company and variable contract transactions, as designated under the firm’s supervisory procedures
Review and track advisor disclosures in QuestCE, including outside business activities, outside brokerage accounts, private securities transactions, and gifts; request additional information and follow up to completion
Administer quarterly compliance questionnaires, attestations, and trainings; track completion and follow up with advisors who are outstanding
Support the branch audit program, including pre-audit preparation and client file sampling, virtual desk reviews, in-person branch audits and advisor interviews, and post-audit action items and attestations
Review advertising, marketing materials, and presentations for compliance with firm policy and applicable FINRA and SEC rules
Assist with electronic communications and trade surveillance reviews and escalate potential red flags
Conduct inquiries into potential policy violations, issue warning letters, and assign remedial training
Assist in gathering and organizing records for regulatory examinations and firm audit requests
Serve as a resource to advisors through compliance office hours and weekly compliance reminders; answer routine questions and escalate matters requiring Chief Compliance Officer review
Maintain compliance books and records, including ticket filing, Form ADV delivery tracking, blotter reconciliation, and the mail and check log
Contribute to process improvements, including updates to internal procedures, documents, and compliance tools