Registered Compliance Associate (FINRA/SEC) – Financial Services

Florida Financial Advisors, Inc.; Tampa (FL); On-site; USD 65,000 - 90,000; Full time

Job summary

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.

Qualifications

• Bachelor’s degree required.
• Must hold FINRA SIE, Series 6/7, and Series 26 licenses (current or eligible).
• Series 65 or 66 required.
• Life & Health Insurance license required.

Responsibilities

• Review new business across advisory, brokerage, and fixed insurance for completeness, suitability, and good order.
• Serve as registered principal for review/approval of investment company and variable contract transactions.
• Review advisor disclosures and request information to completion.
• Administer quarterly compliance questionnaires, attestations, and trainings; track completion.

Skills

FINRA knowledge

Regulatory compliance

Communication skills

Organization

Background check fingerprinting

Education

Bachelor’s degree

FINRA licenses (SIE, Series 6/7, Series 26)

Series 65 or 66

Life & Health Insurance License

Tools

QuestCE

FINRA Gateway/CRD/IARD

Global Relay

HubSpot

Orion/Schwab

Comply

Job description

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.