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 SummaryThe 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 DescriptionResponsibilities:Review new business across advisory, brokerage, and fixed insurance accounts for completeness, suitability, and good order; work NIGO items and corrections with advisors through resolutionServe as a registered principal for the review and approval of investment company and variable contract transactions, as designated under the firm’s supervisory proceduresReview 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 completionAdminister quarterly compliance questionnaires, attestations, and trainings; track completion and follow up with advisors who are outstandingSupport 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 attestationsReview advertising, marketing materials, and presentations for compliance with firm policy and applicable FINRA and SEC rulesAssist with electronic communications and trade surveillance reviews and escalate potential red flagsConduct inquiries into potential policy violations, issue warning letters, and assign remedial trainingAssist in gathering and organizing records for regulatory examinations and firm audit requestsServe as a resource to advisors through compliance office hours and weekly compliance reminders; answer routine questions and escalate matters requiring Chief Compliance Officer reviewMaintain compliance books and records, including ticket filing, Form ADV delivery tracking, blotter reconciliation, and the mail and check logContribute to process improvements, including updates to internal procedures, documents, and compliance toolsRequirements & 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-examinationSeries 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 activitiesExperience with, or ability to quickly learn, FINRA Gateway/CRD/IARD, QuestCE, Global Relay, Comply, Orion/Schwab, and HubSpotSound judgment and discretion in handling confidential client and advisor informationStrong verbal and written communication skills, including the ability to explain compliance requirements to advisors in plain languageHighly organized, with the ability to manage a high volume of recurring deadlines and ensure adequate follow-up and closure on daily tasks and projectsMeticulous attention to detailMust successfully complete the fingerprinting and background check required for FINRA registration