Compliance Associate

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 firms 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 escalate 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 escalate 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:

• Bachelors (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 and 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 .

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.