Compliance Associate Position Available In Broward, Florida

Compliance Associate Sound Income Group LLC Fort Lauderdale, FL Job Details Estimated:

$75.3K – $111K a year 15 hours ago Qualifications 5 years Series 66 Microsoft Office Bachelor’s degree Organizational skills Series 65 Senior level Communication skills

Full Job Description Description:

Company Overview:

Sound Income Group is a leading financial services firm dedicated to helping clients secure their financial futures through expert wealth management and retirement planning. With a strong commitment to providing tailored financial strategies, we empower individuals and businesses to make informed decisions that align with their long-term goals. Our team of experienced professionals brings deep industry knowledge and innovative solutions to navigate the ever-changing financial landscape. At Sound Income Group, we prioritize transparency, trust, and integrity, striving to create lasting relationships with clients built on exceptional service and personalized attention.

Position Overview:

We are seeking a Compliance Associate to support the Chief Compliance Officer (CCO) in performing various compliance-related tasks and ensuring the organization’s adherence to regulatory requirements. The Compliance Associate will assist in reviewing advertising, social media, and website content for compliance, managing documentation and data retention, and assisting with trade blotter reviews. The role will also involve supporting compliance inspections, working with representatives and other departments on inquiries, and assisting with regular compliance reporting. This is an excellent opportunity to contribute to a compliance team and work on diverse projects within the operations group.

Requirements:

Key Responsibilities:

Assist the CCO in daily compliance duties, including the review of advertising, social media, and website content for compliance. Collect and maintain compliance-related documentation on Dropbox and My Compliance Office for proper record retention. Review trade blotters and assist with compliance inspections and document analysis. Provide support to representatives and various departments with compliance-related questions and inquiries. Help with the preparation and review of daily and quarterly compliance reports. Assist with various compliance and operations team projects as needed. Perform other duties as assigned or required.

Required Skills and Qualifications:

Must be eligible to work for any U.S. employer without sponsorship. Bachelor’s Degree from an accredited college or university, or equivalent work experience. Minimum of 5 years of prior experience in the financial industry, with a Series 65 or 66 license. Professional, friendly demeanor and ability to thrive in a team-oriented environment. Strong proficiency with the Microsoft Office suite. Highly analytical, detail-oriented, and able to ensure accuracy in all tasks. Excellent communication and organizational skills. Ability to manage time effectively, prioritize tasks, and meet deadlines. Ability to learn and adapt quickly to new processes and regulatory changes. Desire and ability to contribute successfully to a small team environment. Physical Requirements Ability to work for extended periods at a desk using a computer with a keyboard, mouse, and monitor. Occasional repetitive motions for computer equipment use. Ability to lift up to 10 pounds if/when necessary. Regular use of telephone and email for communication. Work is typically performed in an office setting, involving routine sitting, bending, and stooping. Sound Income Group is an E-Verify employer. Sound Income Group is an equal opportunity employer that complies with all applicable federal, state, and local laws, rules and regulations. It is our policy to employ and promote qualified candidates without discrimination on the basis of race, color, sex, age, origin, sexual orientation, marital status, disability or any other characteristic protected by law. Our hiring decisions are based solely on merit, qualifications and business needs.