Finra Jobs
Browse 37 exciting jobs hiring in Finra now. Check out companies hiring such as Moomoo, FINRA, RBC in Lubbock, Dallas, Nashville-Davidson.
Lead Broker-Dealer operations at Futu US as Director of Brokerage Operations, ensuring compliant, efficient trade settlement, reconciliations, and risk controls.
FINRA seeks a detail-oriented Senior Market Operations Analyst to support ADF market operations and ensure member compliance with trade reporting and quoting rules.
RBC Wealth Management is hiring a Client Associate/Registered Client Associate to support advisors and clients by handling account operations, compliance, and client inquiries in the Missoula branch.
Momentus Capital is hiring a Chief Risk Officer to build and lead an enterprise-wide risk program, oversee credit and investment risk, and serve as a strategic advisor to the CEO and board.
Northland Securities is hiring an Associate I, Public Finance to support issuance and continuing disclosure workflows by managing transaction documents, coordinating closings, and maintaining accurate financial and legal records.
Moomoo Financial is hiring a bilingual Middle Office Specialist in Dallas to manage new-account QA, support operations and compliance initiatives, and drive process improvements across teams.
Robinhood's TradePMR is hiring a Senior Compliance and Risk Specialist in Clearwater, FL to lead RIA onboarding due diligence, communications review, and AML controls in a hybrid, high-performing environment.
MUFG is hiring an experienced Fixed Income Compliance Advisor (VP) to lead regulatory advisory, policy drafting, risk assessments, and compliance training for its fixed income businesses.
Work remotely as a Securities Registrations Specialist managing registration filings, regulatory communications, and database reconciliation to ensure compliance for broker-dealer affiliated personnel across the U.S.
Join a remote compliance team as a Securities Registrations Specialist responsible for managing Form U4/U5/8R filings, license maintenance, and regulator interactions to ensure accurate, compliant registrations.
An education-based Accelerator Program that trains motivated candidates to become Financial Representatives selling individual insurance with structured mentorship, licensing support, and uncapped incentives.
Santander is hiring a Wealth Management Risk Associate to manage fiduciary, conduct, and operational risk for HNW/UHNW client relationships and help strengthen the firm's wealth management risk framework.
Work remotely as a Securities Registrations Specialist managing Form U4/U5/8R filings, regulator interactions (FINRA, NFA, state authorities), and registration database maintenance to ensure licensing compliance.
Futu US Inc. is hiring a Financial Regulatory Analyst/Accountant to manage broker-dealer regulatory reporting and support accounting operations across SEC/FINRA (and related) requirements.
Stifel is hiring a Sr. Administrative Assistant in New York to deliver executive-level administrative support, manage reporting and invoicing, and coordinate travel, meetings, and vendor administration for investment advisory teams.
SoFi is hiring an Associate Manager, Operations Communications in Cottonwood Heights to lead member service teams, optimize operational metrics, and drive continuous improvement in a fast-paced banking environment.
Raymond James is hiring a strategic Director of Quality Assurance to lead distributed QA teams and drive enterprise QA strategy for trading platforms and financial systems.
Lead a high-performing internal sales team at Franklin Templeton to drive wealth management sales, coach talent, and ensure compliant execution across territories.
Senior financial leader needed to own consolidation, regulatory reporting, audits, and controls across Futu US Inc.'s broker-dealers, crypto, and related entities.
Acorns is hiring a Compliance Associate to help maintain and enhance compliance programs—updating WSPs/SOPs, supporting testing and exams, and monitoring social media and disclosures—with options for remote work or offices in Irvine, CA and New York, NY.
Experienced securities operations professional sought to supervise branch support staff, ensure compliance, and manage day-to-day office operations at D.A. Davidson's Charleston branch.
A leading investor services group is hiring a Managing Director of Regulatory Compliance to lead compliance program delivery and regulatory exam support for alternative asset clients.
Lead regulatory compliance programs and SEC exam support for alternative asset managers at a large global investor services firm, driving client-facing solutions and coaching junior staff.
RBC is hiring a Compliance Assurance Test Plan Governance Lead to lead the development, governance, and reporting of the bank’s Annual Compliance Assurance Plan and related testing and monitoring activities.
Senior Compliance Officer responsible for investigating and resolving complex customer complaints, managing regulatory reporting, and coordinating remedial actions across Legal, Compliance, and business partners at RBC.
ServiceNow is hiring a Principal Security Applied Field Engineer to architect secure, compliant workflow solutions on the Now Platform for financial services clients while advising C-level executives and leading complex pre-sales efforts.
Savvy Wealth is seeking an experienced Controller to manage GAAP reporting, broker-dealer compliance, and accounting systems as the company scales its advisory and brokerage operations.
Senior leader sought to define and execute the national branch administrative strategy, scale a distributed administrative function, and develop next-generation leaders across LPL’s advisor channels.
Gemini is hiring a Lead for Broker-Dealer Compliance to design, oversee, and scale the firm’s broker-dealer compliance program from its New York hub.
Provide expert, compliance-focused retirement plan and account support to members and plan sponsors in a hybrid Representative role with Nationwide Financial.
Apple Bank seeks a senior Creative Director (FVP) to drive brand positioning, multi-channel creative execution, and compliant marketing initiatives across retail, commercial, wealth and digital channels.
IT Support Analyst needed in NYC to provide front-office support for fixed income trading and cash applications with strong Unix, SQL, and incident management skills.
Crux Climate seeks an experienced Principal to lead tax-equity and preferred-equity transactions, drive investment committee approvals, and manage sponsor and investor relationships for its renewable energy finance platform.
Crux Climate seeks a seasoned Principal to establish and lead portfolio management for tax equity and preferred equity investments, combining deep project-finance expertise with a technology-forward approach.
A senior operations executive is sought to lead introducing broker-dealer operations, regulatory control frameworks, and AI-enabled automation at a major global custody and clearing organization.
Experienced financial modeler needed to lead tax-equity modeling and transaction analysis for a fast-growing clean energy capital markets platform.
Senior security and solution architecture leader responsible for designing compliant, scalable ServiceNow workflows and data architectures for financial services clients while advising C-level stakeholders.
How much do finra jobs pay?
Below 50k*
0
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50k-100k*
17
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Over 100k*
19
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Best cities to find finra jobs
- New York 6
- Minneapolis 2
- Boston 2
- Rockville 1
- Missoula 1
- Clearwater 1
