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Compliance Assistant

Largo, FL · Accounting/Finance
Econologics Financial Advisors is hiring a
Compliance Assistant

Our location: 2401 West Bay Drive, Suite 603 Largo, FL 33770

Our Website:  www.econologicsfinancialadvisors.com

Thanks for your interest!  Let us tell you a little more…
  • Are you an organized and detail oriented person who loves risk management?
  • Do you have a confident, self-starter attitude and a desire to help?
  • And most importantly, do you enjoy team work and thrive in a fast-paced, collaborative environment?
If so, then this may be the opportunity for you!  Read on to learn more.   
First, here’s some information about Econologics Financial Advisors.  We are an Inc. 5000 company that is expanding and looking to add great people who can be an asset to our awesome team.  We provide financial planning services to private practice owners throughout the US that includes investment and insurance products and services.  Our dedicated staff work closely together to provide our clients with excellent service to help them improve their financial condition.  We love team spirit and have a passion for what we do.  People who are friendly, upbeat, good problem solvers and driven to get their products do best in our work environment.  If that sounds like you, then keep reading!
As a Compliance Assistant you will be responsible for ensuring our RIA and insurance agency are in good standing from a compliance standpoint and that our advisors are properly credentialed to provide investment advice.  As a major part of your job you will be managing our established compliance programs to manage risk from a corporate level to our day-to-day operations.
If you are a reliable person and have a high desire and willingness to help us operate in a legal and ethical manner, then this could be the job for you!  Keep reading to learn the basics of what you will be doing and what experience you’ll need.
So let’s go over the job.  What follows is a summary of the basic elements of the Compliance Assistant job. 

Key points of what the Compliance Assistant will be doing:
  • Assists with ensuring the corporate governance for the company is sound.
  • Assists with ensuring the RIA and insurance agency compliance is in good order
  • Manages staff licensure and credentials
  • Assists with managing the day-to-day office compliance
  • Reviews marketing assets for compliance approval
  • Maintains cyber and physical office security
Qualifications in order to be our Compliance Assistant:
  • Bachelor’s degree in finance, accounting or similar
  • Valid driver’s license.
  • Minimum 2 years of experience with risk management (RIA and insurance agency compliance,  regulatory oversite and administration)
  • Working knowledge of insurance agency and agent licensing procedures
  • Strong organizational, multi-tasking, and prioritizing skills and excellent attention to detail
  • Ability to take initiative and work independently with minimal supervision in a structured environment
  • Enjoys working on administrative cycles and collaborating with a team
  • Excellent verbal and written communication skills
  • Excellent ability to stay calm even when things go wrong
  • 45wpm typing skills and proficient with Word and Excel
  • Ambitious and goal-oriented with the ability to reach and exceed quotas
  • Experience with operating Infusionsoft
What We Provide:
Econologics Financial Advisors will provide you with the training you need to manage our compliance and risk management. 

We offer a salary of $21-$23 per hour.  There is potential for bonus based on production. 

Benefits include health, dental, vision and life insurance, PTO and an employer-sponsored retirement plan for qualified employees. 
We do not process phone applications. Upon receiving your resume, we will send you an invitation for a phone interview if we consider you meet the criteria mentioned above.

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