Junior Compliance Analyst

A&D MORTGAGE LLC•Fort Lauderdale, FL

2d•Onsite

About The Position

At AD Mortgage, we’ve been helping clients achieve their homeownership dreams for over 20 years — and we couldn’t do it without our team. With more than 400 passionate professionals (and growing!), we’ve built a culture rooted in collaboration, continuous growth, and shared success. Join a company that listens to your voice, invests in your development, and celebrates every win — big or small. Your future starts here. Let’s grow together. Overall Responsibilities: The Junior Compliance Analyst supports the Compliance Department in maintaining and monitoring the firm’s regulatory compliance program. This role assists in ensuring adherence to applicable laws, regulations, and internal policies governing registered investment advisers, including SEC and state regulatory requirements. The position provides an excellent opportunity for an early-career professional to gain experience in investment advisory compliance, regulatory filings, and internal controls.

Requirements

Sound judgement, problem solving and decision-making skills.
Possess strong personal computer skills including experience in Microsoft Windows, Excel, Word, and Outlook.
Excellent communication skills, both verbal and written.
Enthusiasm for providing customers with the best possible service.

Responsibilities

Regulatory Compliance Support Assist in the administration of the firm’s compliance program in accordance with SEC and state investment adviser regulations, including the Investment Advisers Act of 1940.
Support the monitoring of compliance with internal policies, procedures, and the firm’s Code of Ethics.
Assist in preparing compliance documentation for regulatory examinations and internal audits.
Monitoring and Surveillance Conduct daily, weekly, and monthly compliance monitoring tasks.
Review employee personal trading reports and monitor adherence to personal trading policies.
Assist in monitoring marketing materials, communications, and client correspondence for regulatory compliance.
Regulatory Filings and Documentation Assist with preparation and maintenance of regulatory filings including: Form ADV updates Regulatory questionnaires Compliance certifications
Maintain accurate records in accordance with SEC recordkeeping requirements.
Compliance Testing Support periodic compliance testing and internal reviews of firm procedures.
Assist with risk assessments and testing of compliance controls.
Training and Policy Administration Help administer compliance training for employees.
Maintain compliance manuals, policies, and procedures.
Assist in updating compliance documentation as regulations evolve.
Research and Regulatory Monitoring Monitor regulatory developments and assist in evaluating their impact on firm policies.
Conduct research on regulatory requirements and industry best practices

Benefits

PTO/Sick Days
Comprehensive medical, dental, vision benefits
Paid volunteer hours
Life Insurance, Short-term Disability, and Long term Disability
Health Savings Account
401k
Paid training and career development
Career Growth: As part of a growing and evolving company, you will have ample opportunities to develop your career, take on new challenges, and make a significant impact.
Inclusive Culture: We are committed to fostering a diverse and inclusive workplace where all employees feel valued and empowered. We celebrate unique perspectives and believe diversity drives innovation.
Cutting-Edge Technology: Access state-of-the-art learning tools and technologies to enhance your own professional development and that of the entire organization.