Certified Advisory Corp (Altamonte Springs, FL) Seeking Compliance Associate

Position: Compliance Associate
Availability: Immediate
Certified Advisory Corp (“CAC”) is a Registered Investment Advisory firm, located in Altamonte Springs, FL offering financial planning and investment management.

Description of Position
CAC is in search of a Compliance Associate (“CA”) to become a member of our team. As the CA, you will contribute to the implementation and administration
of CAC’s Compliance Program. This position reports directly to the Chief Compliance Officer (“CCO”). This is not a remote position.

The CA duties will include, but are not limited to:
• Assist with compliance monitoring and testing programs
• Assist with scheduled internal audits, forensic tests, and other supervisory oversight
• Assist with portfolio management activities and suitability analysis
• Prepare and Review employee personal securities transactions and other required employee reporting
• Manage firm marketing and advertising (includes web, print, and social media) compliance reviews and books and records maintenance
• Support the state licensing and onboarding process for all licensed persons
• Assist with regulatory filing preparation
• Manage online compliance portal workflows and users
• Review and update policies and procedures as needed
• Participate in special projects as assigned
• Liaison with internal as well as third party vendors as needed
• Assist CCO in designing, developing, implementing, and evaluating the compliance program
• Coordinate employee training of compliance policies
• Provide support to CCO relating to oversight of third-party service providers and counterparties
• Provide support to the CCO in administration of compliance projects
• Perform other tasks as assigned or requested

• Bachelor’s degree required; business related field preferred
• 3 to 5 years of general financial services experience, Compliance experience preferred
• Understanding of industry standards, compliance operating and regulatory requirements, such as SEC, and state financial regulators and AML program responsibilities
• Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook, as well as CRM
• Excellent written, verbal communication, and analytical skills
• Must be able to work independently as well as collaboratively within a team

Salary and Benefits
Pay / benefits are competitive based on industry standards.
• Compensation based on experience
• Incentive compensation
• Benefits include paid time off, health care, 401(k) and Profit Sharing
• Partial and/or full financial support for professional accreditation/continuing education requirements and other education/training opportunities


Interested candidates should email hr@financialgroup.com.