Compliance Associate Florida Financial Advisors - 4.5 Tampa, FL Job Details Full-time 1 day ago Benefits Health insurance Dental insurance Paid time off 401(k) matching Qualifications Confidential information handling Interpersonal skills Securities & Exchange Commission Regulatory compliance Series 7 Securities law compliance support experience Bachelor's degree Attention to detail Securities law FINRA License HubSpot Series 63 Full Job Description Company Overview Florida Financial Advisors is a full-service financial and wealth management firm dedicated to helping clients achieve their dreams through personalized financial strategies. We prioritize a holistic approach, focusing on detailed planning and exceptional customer service to secure our clients' futures. Job Summary The Compliance Associate is a member of the Compliance and Supervision Team for 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.

Job Description 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

Requirements & Skills:

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 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) 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

Benefits:

401(k) matching Dental insurance Health insurance Paid time off

Work Location:

In person