Compliance Intern

About Us:

Florida Financial Advisors is a dual-registered firm, operating as both a Registered Investment Adviser (RIA) and a FINRA-member Broker-Dealer. We provide a range of financial services while maintaining a strong focus on regulatory compliance and operational integrity.

Position Summary:

We are seeking an organized and reliable intern to support our Compliance team in the day-to-day management of regulatory and operational records. This internship provides an opportunity to observe the operational requirements of a dual-registrant firm, with an emphasis on filing and records management in a highly regulated environment.

Primary Responsibilities:

• File and organize physical and electronic records related to investment advisory and broker-dealer compliance.
• Maintain document retention in accordance with SEC, FINRA, and internal policies.
• Ensure proper labeling, version control, and secure storage of compliance documentation.
• Support document retrievals for internal reviews, audits, or regulatory examinations.
• Assist with file audits to confirm completeness and consistency across advisory and brokerage records.

Requirements:

• Strong attention to detail and organizational skills.
• Ability to handle sensitive and confidential materials with discretion.
• Basic proficiency in Microsoft Office (Excel, Word, Outlook)
• Interest in financial services, compliance, or regulatory affairs (preferred but not required).

What You Will Gain:

• Exposure to SEC and FINRA regulatory environments within a dual-registrant firm.
• Understanding of how compliance records are maintained to meet legal and regulatory obligations.
• Experience working in a professional financial services setting.
• A potential reference upon successful completion of the internship.
• Securities Industries Essentials Exam sponsorship.