Compliance Associate

AmeriLife; Tampa (FL); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

PTO

Medical

Dental

Vision

Retirement savings

Disability insurance

Life insurance

Job summary

AmeriLife is seeking a Compliance Associate to join our Compliance and Supervision Team in Florida. The role covers advisory, brokerage, and fixed insurance work, and requires serving as a registered Series 26 principal, reviewing new business, disclosures and client files for good order, and escalating complex questions to the Chief Compliance Officer.

You will administer questionnaires, attestations, trainings, and branch audits, assist with examinations, and ensure written procedures comply

Qualifications

• Bachelor’s degree is required.
• FINRA licenses 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 or supervisory experience at a broker-dealer or investment adviser preferred.
• Working knowledge of FINRA and SEC rules governing broker-dealers and investment advisers.

Responsibilities

• Review new business across advisory, brokerage, and fixed insurance accounts for completeness and good order.
• Serve as a registered principal for review and approval of investment company and variable contract transactions.
• Review disclosures in QuestCE and track outside activities and transactions.
• Administer quarterly compliance questionnaires, attestations, and trainings; track completion.
• Support the branch audit program, including pre-audit prep, client file sampling, and post-audit actions.
• Review advertising and marketing materials for compliance with FINRA and SEC rules.
• Assist with electronic communications and trade surveillance reviews.
• Conduct inquiries into potential policy violations and issue remedial training.
• Gather and organize records for regulatory examinations and firm audits.
• Be available via compliance office hours to answer routine questions.

Skills

FINRA/SEC rules knowledge

Regulatory compliance

Communication skills

Organized workflow management

Background check compliance

Education

Bachelor’s degree

Finance/Business degree

Tools

QuestCE

Global Relay

Comply

HubSpot

Orion/Schwab

FINRA Gateway/CRD/IARD

Job description

Our Company

Explore how you can contribute at AmeriLife. For over 50 years, AmeriLife has been a leader in the development, marketing and distribution of annuity, life and health insurance solutions for those planning for and living in retirement. Associates get satisfaction from knowing they provide agents, marketers and carrier partners the support needed to succeed in a rapidly evolving industry.

Job Summary

The Compliance Associate is a member of the Compliance and Supervision Team supporting our affiliated firms: 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 escalated 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 escalation 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

What AmeriLife Offers

A comprehensive benefits package that includes:

• PTO
• medical
• dental
• vision
• retirement savings
• disability insurance
• life insurance

Equal Employment Opportunity Statement

We are an Equal Opportunity Employer and value diversity at all levels of the organization. All employment decisions are made without regard to race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender identity or expression, age, national origin, ancestry, disability, genetic information, marital status, veteran or military status, or any other protected characteristic under applicable federal, state, or local law. We are committed to providing an inclusive, equitable, and respectful workplace where all employees can thrive.

Americans With Disabilities Act (ADA) Statement

We are committed to full compliance with the Americans with Disabilities Act (ADA) and all applicable state and local disability laws. Reasonable accommodations are available to qualified applicants and employees with disabilities throughout the application and employment process. Requests for accommodation will be handled confidentially. If you require assistance or accommodation during the application process, please contact us at [e-mail].

Pay Transparency Statement

We are committed to pay transparency and equity, in accordance with applicable federal, state, and local laws. Compensation for this role will be determined based on skills, qualifications, experience, and market factors. Where required by law, the pay range for this position will be disclosed in the job posting or provided upon request. Additional compensation information, such as benefits, bonuses, and commissions, will be provided as required by law. We do not discriminate or retaliate against employees or applicants for inquiring about, discussing, or disclosing their pay or the pay of another employee or applicant, as protected under applicable law. Pay ranges are available upon request.

Background Screening Statement

Employment offers are contingent upon the successful completion of a background screening, which may include employment verification, education verification, criminal history check, and other job-related inquiries, as permitted by law. All screenings are conducted in accordance with applicable federal, state, and local laws, and information collected will be kept confidential. If any adverse decision is made based on the results, applicants will be notified and given an opportunity to respond.