Registered Compliance Associate; FINRA/SEC Financial Services
Listed on 2026-10-17
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Finance & Banking
Regulatory Compliance Specialist, Financial Services
Florida Financial Advisors is seeking a Compliance Associate to join the Compliance and Supervision Team across advisory, brokerage, and insurance services. The role involves reviewing new business, disclosures, and training attestations while supporting branch audits and compliance reminders.
Ideal candidates are organized, handle high volumes, and escalate to the Chief Compliance Officer as needed. A Series 26 principal role is noted for daily operation and regulatory alignment.
We would love to welcome a new Registered Compliance Associate (FINRA/SEC) – Financial Services to our group in Tampa, FL, United States.
As a Registered Compliance Associate (FINRA/SEC) – Financial Services, you will play an important part at Florida Financial Advisors, Inc. in Tampa, FL, United States.
We invite applications for the Registered Compliance Associate (FINRA/SEC) – Financial Services position located in Tampa, FL, United States.
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