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$207.5K

How much do compliance finra jobs pay per year?

As of Jul 27, 2026, the average yearly pay for compliance finra in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What is a Compliance Finra job?

A Compliance FINRA job involves ensuring that a financial firm adheres to regulations set by the Financial Industry Regulatory Authority (FINRA). Professionals in this role monitor transactions, conduct audits, and implement policies to maintain regulatory compliance. They also train employees on compliance standards and report any violations to prevent legal issues. This position is crucial in maintaining the integrity of financial markets and protecting investors.

What are the key skills and qualifications needed to thrive in the Compliance Finra position, and why are they important?

To thrive as a Compliance Finra professional, you need a comprehensive understanding of FINRA regulations, securities laws, and compliance best practices, generally supported by degrees in finance, business, or law. Familiarity with compliance management software, surveillance tools, and obtaining certifications such as FINRA Series 7, 24, or 63 is highly beneficial. Strong analytical skills, attention to detail, and effective communication abilities set top performers apart in this field. These competencies are crucial to ensure organizations operate within regulatory frameworks, minimizing legal risks and fostering ethical business conduct.

What are some common challenges faced by Compliance Finra professionals, and how can they be managed effectively?

Compliance Finra professionals often face the challenge of keeping up with frequently changing financial industry regulations and ensuring that all organizational processes remain compliant. Managing large volumes of data, coordinating across departments, and communicating updates to staff require strong organizational and interpersonal skills. To manage these challenges effectively, professionals typically engage in ongoing education, leverage advanced compliance monitoring tools, and establish clear procedures for reporting and training. Embracing teamwork and proactive problem-solving helps ensure any emerging risks are addressed promptly and compliance standards are consistently met.

More about Compliance Finra jobs
What cities are hiring for Compliance Finra jobs? Cities with the most Compliance Finra job openings:
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Compliance Finra jobs near you
Infographic showing various Compliance Finra job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 82% Full Time, 12% Part Time, and 5% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.
Chief Compliance Officer

Chief Compliance Officer

ReKruiting Advisors LLC.

Miami, FL • On-site

$150 - $200/hr

Other

Posted 18 days ago

Job description

Chief Compliance Officer Duties:
  • Establish, maintain and upgrade standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues.
  • Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risks.
  • Oversee and manage the compliance program functions for the BD and IRA, including implementation of written supervisory procedures, transaction monitoring, AML compliance (FINRA Rule 3310), training and annual testing.
  • Manage the licensing requirements and holdings for the BD, and IRA.
  • Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities.
  • Work with senior management, Legal, Compliance, HR, Marketing, registered representatives, and other key constituencies.
  • Provide advice on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures.
  • Ensuring that SARs, CTRs, and CIMRs are filed promptly and on time.
Requirements:
  • Licenses: series 24, 7.
  • Minimum 10 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting a Broker Dealer and/or RIA.
  • Experience working with regulatory agencies and legal teams, both internal and external.
  • Experience with US Anti-Money Laundering regulations and best practices.
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