Florida Financial Advisors is a fast-growing firm that specializes in the unique needs of the working class with the 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 the more important aspect of their financial picture: their professions. FFA’s mission is to take people to the highest possible level in both their career and life.
Our company has grown exponentially since opening in 2017, starting with our Florida Offices around Tampa, Orlando, Miami, and Jacksonville. Within the past 8 year we have expanded out of Florida as Tristate Financial Advisors in the Philadelphia, Charlotte, Nashville, Chicago and DC Metro area, Georgia Financial Advisors in Atlanta and Savannah, Texas Financial Advisors in Dallas, Houston and Austin, Four Corners Financial Advisors in Las Vegas, Phoenix and Denver and New England Financial Advisors in Providence, RI.
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 on-boarding and ensure FFA always meets our staff requirements.
Hours: 40 hours per week (In-Office)
Position: Operations Associate
Location: 550 Pharr Road NE, Suite 400 Atlanta, GA 30305
The operations associate will report directly to the Senior Director of Operation and will provide support to all advisors regarding on-boarding, registration, compliance, and other operations and administrative tasks.
Responsibilities:
- Assist with applying, developing, and implementing Registration Department procedures, practices and controls related to licensing and registration and all applicable filing requirements (Form U4 and U5)
- Oversee new hire on-boarding, including on-boarding onto company systems and initial training coordination and communication
- Assist with ensuring filing, maintaining, and updating Form ADV and completing other regulatory filings.
- Maintain licensing and registration related records
- Assist with providing interpretative guidance on registration and disclosure related rules and regulations.
- Support the resolution of issues or concerns related to registration matters and other employee inquiries
- Communicate with the sponsorship and compliance team to maintain consistent procedures and systems across the board
- Perform other duties as assigned
Requirements:
- General understanding of financial services business
- Strong communication skill and coach-ability required.
- Extremely organized and attentive to details
- Advanced understanding of Microsoft Office Suite, specifically Excel
- Data-entry and administrative experience
Benefits:
- Paid Time Off
- Holiday Time Off
- Competitive benefits package including medical, dental, and vision
- 401(k) plan with company match
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
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Work Location: In person
