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Compliance Associate at AmeriLife - ApplyBlast

Compliance Associate

AmeriLife

1 month ago

3.4 on Glassdoor

Tampa, Florida, United States

Onsite

Full Time

Medior

0 applicants

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About this role

The Compliance Associate supports the Compliance and Supervision Team by reviewing new business, managing registration workflows, and serving as a day-to-day compliance resource for advisors across advisory, brokerage, and fixed insurance businesses. This role involves reviewing transactions for suitability, tracking advisor disclosures, administering compliance training, and supporting branch audit programs. The position requires maintaining compliance records, assisting with regulatory examinations, and ensuring adherence to FINRA and SEC rules.

Responsibilities

Review new business transactions for suitability and compliance across advisory and brokerage accounts
Serve as registered principal to approve investment company and variable contract transactions
Support branch audit programs and conduct inquiries into potential policy violations

Skills

Qualifications

Bachelor's degreeSIESeries 6Series 7Series 26

About AmeriLife

amerilife.com

Headquarters

Clearwater, Florida, United States

Company Size

1001-5000 employees

Founded

1971

View Profile

AmeriLife is one of the leading independent marketing organizations (IMOs) and registered investment advisors in the United States, delivering insurance and financial solutions to agents, advisors, and affiliated firms to help people live longer, healthier lives. The company operates a vast nationwide distribution network of over 166 unique IMOs, agencies, and financial firms, supported by more than 300,000 client-centered agents and advisors. AmeriLife offers a broad range of products including life and health insurance, annuities, and wealth management services, along with proprietary technology tools to accelerate agent and advisor business growth.