Compliance Associate

Florida Financial Advisors, Inc.; Tampa (FL); On-site; USD 65,000 - 90,000; Full time

Job summary

Florida Financial Advisors is seeking a Compliance Associate to join the Compliance and Supervision Team across advisory, brokerage, and insurance services. The role involves reviewing new business, disclosures, and training attestations while supporting branch audits and compliance reminders.

Ideal candidates are organized, handle high volumes, and escalate to the Chief Compliance Officer as needed. A Series 26 principal role is noted for daily operation and regulatory alignment.

Qualifications

• Bachelor’s degree required.
• Must hold FINRA SIE, Series 6/7, and Series 26 licenses (current or eligible).
• Series 65 or 66 required.
• Life & Health Insurance license required.

Responsibilities

• Review new business across advisory, brokerage, and fixed insurance for completeness, suitability, and good order.
• Serve as registered principal for review/approval of investment company and variable contract transactions.
• Review advisor disclosures and request information to completion.
• Administer quarterly compliance questionnaires, attestations, and trainings; track completion.

Skills

FINRA knowledge

Regulatory compliance

Communication skills

Organization

Background check fingerprinting

Education

Bachelor’s degree

FINRA licenses (SIE, Series 6/7, Series 26)

Series 65 or 66

Life & Health Insurance License

Tools

QuestCE

FINRA Gateway/CRD/IARD

Global Relay

HubSpot

Orion/Schwab

Comply

Job description

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 elevate 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 elevate 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