Compliance Associate: FINRA/SEC Review Lead

Amerilife Group, LLC; Tampa (FL); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

PTO

Medical insurance

Dental insurance

Job summary

AmeriLife is seeking a Compliance Associate to support the Compliance and Supervision Team across affiliated firms in advisory, brokerage, and fixed insurance businesses. The role reviews new business, manages disclosures, and assists with branch audits and training.

The ideal candidate will hold FINRA licenses, a bachelor’s degree, and experience with FINRA/SEC rules. This position emphasizes organization, detail, and timely follow-up, with a focus on regulatory compliance and risk management.

Qualifications

• Bachelor’s degree required.
• FINRA licenses: SIE, Series 6 or Series 7, and Series 26; registrations must be current or eligible for re-registration.
• 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.
• Must successfully complete the fingerprinting and background check required for FINRA registration.

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.

Skills

FINRA rules knowledge

Communication skills

Organizational skills

Problem solving

Regulatory compliance

Education

Bachelor’s degree

Tools

QuestCE

CRD/IARD

Global Relay

Comply

Orion/Schwab

HubSpot

Job description

AmeriLife is seeking a Compliance Associate to support the Compliance and Supervision Team across affiliated firms in advisory, brokerage, and fixed insurance businesses. The role reviews new business, manages disclosures, and assists with branch audits and training.

The ideal candidate will hold FINRA licenses, a bachelor’s degree, and experience with FINRA/SEC rules. This position emphasizes organization, detail, and timely follow-up, with a focus on regulatory compliance and risk management.