Compliance Associate

POSITION: Compliance Associate

Location & Hours: Fort Lauderdale | Onsite M-F 8:30-5:00pm

Who We Are

At Sound Income Group, our mission is to help independent financial professionals and their clients thrive, especially those approaching or in retirement. We provide a full suite of resources across financial education, investment strategies, marketing, and practice management to support long-term success.

We foster a collaborative, performance-driven culture rooted in integrity, innovation, and service. If you’re enthusiastic about making a measurable impact in the financial services space, we invite you to grow with us.

Position Summary

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.

Key Responsibilities

• 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.