Onsite Compliance Associate – Fort Lauderdale

Sound Income Group; Fort Lauderdale (FL); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Medical + HRA

Dental & Vision

PTO + holidays (NYSE)

401K match

On-site parking

Laptop + technology provided

On-site gym

Car wash service

Job summary

Sound Income Group is seeking a Compliance Associate in Fort Lauderdale to support the Chief Compliance Officer and team. The role is onsite Monday through Friday, performing trade reviews, registrations, education tracking, and reporting within our regulatory framework.

The ideal candidate has at least 2 years in compliance or a detail-heavy field, strong analytical and communication skills, and the ability to manage deadlines while maintaining meticulous records.

Qualifications

• Minimum 2 years of experience in compliance, financial services, or detail-intensive professional services.
• Strong analytical, proofreading, research, and accuracy with high attention to detail.
• Ability to manage recurring deadlines and maintain organized records.
• Clear written and verbal communication with professional follow-up.
• Collaborative, dependable team member in a cross-trained environment.
• Authorized to work in the United States without sponsorship.
• Must live within commuting distance of Fort Lauderdale and work onsite five days.

Responsibilities

• Conduct daily and weekly trade reviews.
• Support representative security reviews and other compliance activities.
• Assist with monthly and annual firm registrations and maintain documentation.
• Track continuing education requirements across state and FINRA programs.
• Review quarterly trade errors, corrections, and adjustments.
• Assist with compliance inspections and documentation requests.
• Prepare and maintain weekly and monthly reports for Trading Operations and CCO.
• Maintain organized compliance records across systems.
• Collaborate with Compliance, Trading Operations, advisors, and internal partners.
• Support cross-training and other compliance projects.

Skills

Analytical

Proofreading

Research

Detail-oriented

Communication

Time management

Education

Bachelor's degree

Tools

Microsoft Excel

Microsoft Office

Job description

Sound Income Group is seeking a Compliance Associate in Fort Lauderdale to support the Chief Compliance Officer and team. The role is onsite Monday through Friday, performing trade reviews, registrations, education tracking, and reporting within our regulatory framework.

The ideal candidate has at least 2 years in compliance or a detail-heavy field, strong analytical and communication skills, and the ability to manage deadlines while maintaining meticulous records.