A&D Mortgage LLC
Job Details
Job Location Corporate Office - Fort Lauderdale, FL
Description
At A&D Mortgage, we've been helping clients achieve their homeownership dreams for over 20 years - and we couldn't do it without our team. With more than 400 passionate professionals (and growing!), we've built a culture rooted in collaboration, continuous growth, and shared success.
Join a company that listens to your voice, invests in your development, and celebrates every win - big or small.
Your future starts here. Let's grow together.
Overall Responsibilities:
The Compliance Investment Advisory is responsible for ensuring that the firm's wealth management activities comply with all applicable laws, regulations, and internal policies. This role combines deep knowledge of compliance requirements with wealth management expertise to safeguard client interests and mitigate regulatory risk. The Compliance Investment Advisory works closely with investment advisors, compliance officers, and senior management to maintain a compliant and ethical advisory environment.
Key Responsibilities: Monitor and ensure adherence to regulatory requirements related to wealth management and investment advisory services, including SEC, FINRA, and other relevant bodies. Develop, implement, and update compliance policies and procedures specific to wealth management activities. Conduct regular reviews and audits of client accounts, advisory practices, and documentation to ensure compliance. Provide compliance training and guidance to wealth advisors and staff on regulatory changes, best practices, and ethical standards. Collaborate with legal and compliance teams to investigate and resolve compliance issues or potential violations. Assist in preparing reports for regulatory filings and internal compliance audits. Support new product launches or service offerings with compliance risk assessments. Act as a point of contact for regulatory examinations and audits related to wealth management. Stay informed on industry trends, regulatory changes, and emerging compliance risks. Facilitate client onboarding and ongoing due diligence processes in accordance with compliance standards (e.g., KYC, AML). Review marketing materials, client communications, and investment proposals for compliance. Foster a culture of compliance and ethical behavior within the wealth management team. Qualifications
Bachelor's degree in Finance, Business, Law, or related field. Advanced degree or certifications (e.g., JD, CFP, CAMS, CCO) preferred. 3+ years of experience in compliance within the investment advisory or wealth management industry. Strong knowledge of SEC, FINRA, and other regulatory frameworks impacting wealth management. Experience with compliance monitoring, audits, and regulatory reporting. Excellent analytical, problem-solving, and communication skills. Ability to work collaboratively with cross-functional teams and influence decision-making. Detail-oriented with a proactive approach to identifying and mitigating risks. High ethical standards and integrity. We offer:
PTO/Sick Days Comprehensive medical, dental, vision benefits Paid volunteer hours Life Insurance, Short-term Disability, and Long term Disability Health Savings Account 401k Paid training and career development Onsite fitness center for employees Gourmet cafeteria with affordable homemade breakfast and lunch Healthy grab and go snacks Career Growth: As part of a growing and evolving company, you will have ample opportunities to develop your career, take on new challenges, and make a significant impact. Work-Life Balance Inclusive Culture: We are committed to fostering a diverse and inclusive workplace where all employees feel valued and empowered. We celebrate unique perspectives and believe diversity drives innovation. Cutting-Edge Technology: Access state-of-the-art learning tools and technologies to enhance your own professional development and that of the entire organization.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. recblid s9tt1nt6vubaxj0pdplg9kc7wtlc7n
Job Location Corporate Office - Fort Lauderdale, FL
Description
At A&D Mortgage, we've been helping clients achieve their homeownership dreams for over 20 years - and we couldn't do it without our team. With more than 400 passionate professionals (and growing!), we've built a culture rooted in collaboration, continuous growth, and shared success.
Join a company that listens to your voice, invests in your development, and celebrates every win - big or small.
Your future starts here. Let's grow together.
Overall Responsibilities:
The Compliance Investment Advisory is responsible for ensuring that the firm's wealth management activities comply with all applicable laws, regulations, and internal policies. This role combines deep knowledge of compliance requirements with wealth management expertise to safeguard client interests and mitigate regulatory risk. The Compliance Investment Advisory works closely with investment advisors, compliance officers, and senior management to maintain a compliant and ethical advisory environment.
Key Responsibilities: Monitor and ensure adherence to regulatory requirements related to wealth management and investment advisory services, including SEC, FINRA, and other relevant bodies. Develop, implement, and update compliance policies and procedures specific to wealth management activities. Conduct regular reviews and audits of client accounts, advisory practices, and documentation to ensure compliance. Provide compliance training and guidance to wealth advisors and staff on regulatory changes, best practices, and ethical standards. Collaborate with legal and compliance teams to investigate and resolve compliance issues or potential violations. Assist in preparing reports for regulatory filings and internal compliance audits. Support new product launches or service offerings with compliance risk assessments. Act as a point of contact for regulatory examinations and audits related to wealth management. Stay informed on industry trends, regulatory changes, and emerging compliance risks. Facilitate client onboarding and ongoing due diligence processes in accordance with compliance standards (e.g., KYC, AML). Review marketing materials, client communications, and investment proposals for compliance. Foster a culture of compliance and ethical behavior within the wealth management team. Qualifications
Bachelor's degree in Finance, Business, Law, or related field. Advanced degree or certifications (e.g., JD, CFP, CAMS, CCO) preferred. 3+ years of experience in compliance within the investment advisory or wealth management industry. Strong knowledge of SEC, FINRA, and other regulatory frameworks impacting wealth management. Experience with compliance monitoring, audits, and regulatory reporting. Excellent analytical, problem-solving, and communication skills. Ability to work collaboratively with cross-functional teams and influence decision-making. Detail-oriented with a proactive approach to identifying and mitigating risks. High ethical standards and integrity. We offer:
PTO/Sick Days Comprehensive medical, dental, vision benefits Paid volunteer hours Life Insurance, Short-term Disability, and Long term Disability Health Savings Account 401k Paid training and career development Onsite fitness center for employees Gourmet cafeteria with affordable homemade breakfast and lunch Healthy grab and go snacks Career Growth: As part of a growing and evolving company, you will have ample opportunities to develop your career, take on new challenges, and make a significant impact. Work-Life Balance Inclusive Culture: We are committed to fostering a diverse and inclusive workplace where all employees feel valued and empowered. We celebrate unique perspectives and believe diversity drives innovation. Cutting-Edge Technology: Access state-of-the-art learning tools and technologies to enhance your own professional development and that of the entire organization.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. recblid s9tt1nt6vubaxj0pdplg9kc7wtlc7n