Regulatory Compliance Associate – FINRA/SEC

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

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