The Compliance Associate supports the Chief Compliance Officer and Compliance team in the day-to-day administration of the firm's regulatory compliance program. This role is responsible for trade reviews, registration and continuing education support, compliance reporting, representative security reviews, inspections, and general compliance administration with our affiliates, Sound Income Strategies. The ideal candidate is analytical, highly detail-oriented, comfortable working with recurring deadlines, and eager to grow within financial services compliance.
Conduct daily and weekly trade reviews. Support representative security reviews and other compliance activities within the MyComplianceOffice portal. Assist with monthly and annual firm registrations and maintain accurate supporting documentation. Assign and track continuing education requirements across applicable state and FINRA programs and follow up to ensure timely completion. Review and document quarterly trade errors, corrections, and adjustments. Assist with compliance inspections, documentation requests, and follow-up activities. Prepare, process, and maintain weekly and monthly reports for Trading Operations and the Chief Compliance Officer. Maintain organized compliance records across Dropbox, MyComplianceOffice, and other internal systems. Collaborate with Compliance, Trading Operations, advisors, and other internal partners to research questions and resolve issues. Support cross-training initiatives and assist with additional compliance projects and responsibilities as needed.
Minimum 2 years of experience in compliance, financial services, investment operations, legal support, or another detail-intensive professional services environment. Strong analytical, proofreading, research, and problem-solving skills with a high level of accuracy. Ability to manage recurring deadlines, follow established procedures, and maintain complete and organized records. Clear written and verbal communication skills, including the ability to follow up professionally and explain compliance requirements. Collaborative, dependable approach with the ability to contribute successfully within a close-knit, cross-trained team. Must be authorized to work in the United States without current or future sponsorship. Must live within reasonable commuting distance of Fort Lauderdale and be available to work onsite five days per week. Intermediate to advanced Microsoft Excel skills and proficiency across Microsoft Office. Comfort learning and working within compliance, document-management, and reporting platforms.
Ability to work for extended periods at a desk using a computer. Ability to lift up to 10 pounds if/when necessary. Routine use of telephone and email.
We're proud to offer a comprehensive benefits package that supports your professional and personal well-being, including: 100% employer-covered medical benefits and HRA account, Dental & vision plans, PTO + 10 NYSE company holidays per year, 401K with company match program, Free onsite parking, Company-provided laptop and required technology, Access to an on-site gym (free of charge), Weekly carwash (at an additional cost).
Compliance Associate • Fort Lauderdale, FL, United States
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