Compliance Associate

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 (Required)
• Life & Health Insurance License (Required)
• Prior compliance, operations, or supervisory experience at a broker-dealer, investment adviser, or dual registrant (Required)
• 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