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Compliance Finra Jobs (NOW HIRING)

Talently

Senior Compliance Officer

Wheaton, IL

FINRA licenses: Series 24 required. Series 7/63/66 strongly preferred. * 5-10+ years in broker ... compliance with emphasis on private funds. * Strong knowledge of Reg D, FINRA Rules 2111/2210/5122 ...

moomoo

Director, Compliance (AML)

Jersey City, NJ

As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian ... As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ...

moomoo

Director, Compliance (AML)

Dallas, TX · On-site

As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian ... As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ...

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How much do compliance finra jobs pay per year?

As of Jun 12, 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.

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Compliance Finra jobs near you

Firelight Insurance Product Configuration Specialist

LumiJobs

Salt Lake City, UT • On-site

Full-time

Posted 10 days ago

Job description

### Role Summary

This role is responsible for configuring and maintaining **insurance carrier products** (primarily annuities, life insurance, and related products) within the **FireLight** platform 

The position ensures that carrier products are accurately set up, compliant with broker-dealer rules, and fully functional for advisors/registered representatives to quote, illustrate, and submit applications electronically.

### Key Responsibilities

- **Product Configuration** — Build and configure new insurance carrier products in FireLight, including:

- Product rules, underwriting guidelines, rate tables, riders, and features.

- Data fields, forms, and application workflows.

- Suitability rules, compliance checks, and broker-dealer specific requirements.

- **Carrier Integration & Maintenance** — Work with insurance carriers to implement and update products, including new product launches, rate changes, form updates, and regulatory adjustments.

- **Testing & Quality Assurance** — Perform thorough testing of configured products (quoting, illustrations, e-app, e-signature) to ensure accuracy, compliance, and "In-Good-Order" (IGO) submissions.

- **Troubleshooting & Support** — Resolve configuration-related issues reported by advisors, operations, or carriers. Provide Tier 2/3 support for FireLight-related product questions.

- **Compliance & Suitability** — Configure and maintain broker-dealer suitability workflows, disclosures, and compliance forms within FireLight to meet FINRA, state, and client requirements.

- **Documentation** — Maintain detailed documentation of product configurations, change logs, and carrier specifications.

- **Collaboration** — Partner with carriers, client compliance, sales, operations, and technology teams. May coordinate with Hexure (FireLight vendor) for complex changes or platform updates.

### Required Skills & Experience

- **Strong understanding** of insurance products — especially fixed, indexed, and variable annuities, plus life insurance.

- **Hands-on experience** with **FireLight** platform (highly preferred) — or similar e-application/configurable insurance platforms (e.g., other Hexure tools, Encompass, etc.).

- Knowledge of broker-dealer operations and compliance (FINRA rules, suitability, advertising review).

- Experience with product rules engines, workflow configuration, and forms management.

- Strong analytical, problem-solving, and attention-to-detail skills.

- Ability to manage multiple carrier projects simultaneously.

### Nice-to-Haves

- Prior experience at a broker-dealer  or insurance carrier in product implementation.

- Background in insurance operations, new business processing, or sales support.

- Familiarity with API integrations or platform administration.