What are the responsibilities and job description for the Compliance Coordinator position at Florida Financial Advisors?
Florida Financial Advisors is a fast-growing firm that specializes in the unique needs of the working class with a sole focus of providing comprehensive financial planning and wealth management services to help our clients realize their dreams. Unlike most advisors, we go beyond the traditional focus of our clients’ personal and financial lives by considering a more important aspect of their financial picture: their profession. FFA’s mission is to take people to the highest possible level in both their career and life.
Our company had grown exponentially since opening in 2017, with advisors now servicing the Tampa, Orlando, Miami, Jacksonville, Philadelphia, Nashville, DC, Atlanta, Charlotte, DC Metro, Nashville, Austin and Dallas areas. We like working with people who think ‘outside-the-box’ and who can rally a group of people around a common goal. Ultimately, we are looking for someone who can manage our compliance needs and ensure FFA always meets the regulated requirements.
Position: Compliance Coordinator
Hours: 40/week
Location: 6550 W Hillsborough Ave, 3rd Floor Tampa, FL 33634
The Compliance Coordinator will report directly to the Director of Operation and will provide support with assisting carrier applications.
Responsibilities:
· Perform reasonable diligence to understand the potential risks and rewards associated with a recommended security or strategy
· Determine whether recommendations are suitable according to specific client suitability information
· Developing, implementing, and maintaining internal audit policies and procedures in accordance with FINRA
· Ensure complete, accurate, and timely audit information is reported to the compliance team.
· Serve as a point of contact for employees with questions or concerns regarding product information.
Ability to obtain the FINRA SIE, Series 65, Series 6 and Series 26
Requirements:
· Bachelor’s Degree in finance, business, accounting, or related field
· General understanding of financial services business
· Strong communication skill and coachability required.
· Extremely organized
· Advanced understanding of Microsoft office suite.
Securities offered through Trinity Wealth Securities, LLC are NOT FDIC INSURED, NOT BANK GUARANTEED, and MAY LOSE VALUE. Advisory services offered through Florida Financial Advisors. Please contact your Financial Advisor for information regarding specific investments. Trinity Wealth Securities, LLC, reserves the right to monitor all electronic correspondence. Trinity Wealth Securities, LLC and Florida Financial Advisors, Inc. are affiliated entities.
Job Type: Full-time
Schedule:
- Monday to Friday
Work Location: In person
