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Regulatory Compliance Specialist

Chief Compliance Officer: FINRA Broker-Dealer Reg Expert

Job in Tampa, Hillsborough County, Florida, 33646, USA
Listing for: Social Capital Resources
Full Time position
Listed on 2026-02-10
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
  • Law/Legal
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A growing financial services firm in Tampa, Florida is searching for a Chief Compliance Officer to oversee their compliance program. The ideal candidate will have over 10 years of experience in a U.S. FINRA-registered broker-dealer, strong leadership skills, and a background in advising on regulatory matters. You will be responsible for leading a compliance team, ensuring adherence to SEC and FINRA regulations, and driving compliance initiatives within the firm.
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