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Compliance Finra Jobs in Raleigh, NC (NOW HIRING)

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

Oversee and execute all FINRA, state securities, and insurance registrations, including processing ... Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC

Oversee and execute all FINRA, state securities, and insurance registrations, including processing ... Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and ...

AVE Staffing

Employment Law Partner

Raleigh, NC

$101K - $136K/yr

The ideal candidate will drive employer-side compliance, transactional diligence, and dispute ... and FINRA arbitrations. * Practice Expansion: Leverage a supportive cross-referral platform to ...

Varsity Tutors

Series 7 Tutor

Durham, NC · Remote

$30 - $40/hr

... compliance scenarios. Emphasizes formula memorization strategies and applying conceptual ... Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case ...

Varsity Tutors

Series 7 Tutor

Raleigh, NC · Remote

$30 - $40/hr

... compliance scenarios. Emphasizes formula memorization strategies and applying conceptual ... Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case ...

Varsity Tutors

Series 7 Tutor

Chapel Hill, NC · Remote

$30 - $40/hr

... compliance scenarios. Emphasizes formula memorization strategies and applying conceptual ... Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case ...

Varsity Tutors

Series 16 Tutor

Chapel Hill, NC · Remote

$18 - $40/hr

Ability to explain SEC research disclosure requirements, FINRA research rules, and analytical ... Emphasizes integrating analytical skills with supervisory compliance knowledge. * Curriculum ...

Varsity Tutors

Series 16 Tutor

Raleigh, NC · Remote

$18 - $40/hr

Ability to explain SEC research disclosure requirements, FINRA research rules, and analytical ... Emphasizes integrating analytical skills with supervisory compliance knowledge. * Curriculum ...

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Compliance Finra information

See Raleigh, NC salary details

$30.6K

$96.2K

$201.7K

How much do compliance finra jobs pay per year?

As of Aug 15, 2026, the average yearly pay for compliance finra in Raleigh, NC is $96,187.00, according to ZipRecruiter salary data. Most workers in this role earn between $59,800.00 and $111,800.00 per year, depending on experience, location, and employer.

Is working for Compliance Finra a good career?

Compliance Finra roles involve ensuring financial firms adhere to regulations and often require knowledge of securities laws and compliance procedures. These positions can offer stable employment, opportunities for advancement, and the chance to develop specialized regulatory expertise within the financial industry.

What is a Compliance FINRA?

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?

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.

What are popular job titles related to Compliance Finra jobs in Raleigh, NC?

For Compliance Finra jobs in Raleigh, NC, the most frequently searched job titles are:

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Compliance Finra jobs near you
Infographic showing various Compliance Finra job openings in Raleigh, NC as of August 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $96,187 per year, or $46.2 per hour.

Senior Compliance Manager

CAPTRUST

Raleigh, NC • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 28 days ago

Job description

Overview
WHO are we looking for?
The Senior Compliance Manager serves as a subject matter expert for broker-dealer compliance and regulatory oversight. This role is responsible for leading and enhancing the firm's broker-dealer compliance program, including FINRA regulatory compliance, examinations, supervisory controls, registrations and licensing, WSP governance, and regulatory reporting. The ideal candidate will bring extensive experience operating within a complex broker-dealer environment and partnering with business leaders to manage regulatory risk and support firm growth.
Responsibilities
  • Oversee and execute all FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; manage the licensing onboarding and offboarding process for employees and registered representatives
  • Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting
  • Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminations
  • Manage all regulatory Compliance filings as a primary responsibility
  • Coordinate with Compliance Directors and CCO to maintain the governance framework for broker-dealer and registration activities, including maintaining and updating Written Supervisory Procedures (WSPs)
  • Support the broker-dealer and registered investment advisor office inspection programs as needed
  • Perform special projects, reporting, and research as required by the Compliance Director and CCO
  • Lead, develop, and manage compliance professionals on the team. Prior people leader/team management experience required

Qualifications
Minimum Qualifications:
  • Bachelor's degree or equivalent years of relevant work experience
  • 10-15+ years of progressive compliance experience within a FINRA-regulated broker-dealer environment.
  • Significant experience managing broker-dealer regulatory compliance programs, examinations, supervisory controls, and licensing functions.
  • Demonstrated success interacting directly with FINRA regulators and leading regulatory exam responses.
  • Working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirement
  • Active FINRA Series 7 and Series 24 licenses.

Desired Qualifications/Skills:
  • Demonstrable working knowledge of industry regulations: FINRA rules, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934
  • Extensive experience working at an RIA and broker-dealer
  • Series 65 or 66 licenses (preferred)
  • Intermediate to advanced knowledge of MS Excel
  • Experience with FINRA Gateway/WebCRD
  • Excellent communication skills and attention to detail
  • Broker-dealer compliance leadership experience.
  • Experience supporting FINRA member firms.
  • Experience managing regulatory examinations and remediation activities.
  • Experience developing supervisory programs and compliance testing frameworks.
  • Experience within a dual-registered RIA/Broker-Dealer environment.

WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
  • Company discretionary bonus.
  • Health, dental, and vision coverage, employer 401(k) plan and company match, health savings accounts, flexible spending accounts, and voluntary supplemental plans subject to plan terms.
  • Company-paid benefits such as life insurance, short-term disability, and long-term disability, subject to applicable waiting periods.
  • Paid time off (PTO) or Paid Sick Leave (PSL)

WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
  • Ability to build successful, collaborative, and trusting relationships
  • Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
  • A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
  • Inherent desire to give back to our communities and enrich the lives of those around us
  • An other-centered mindset
  • Integrity through maintaining objectivity

EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
It is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of sex (including pregnancy, childbirth, or other related medical conditions), gender, race (including hair texture or hairstyles associated with race), religion, color, national origin, ancestry, physical or mental disability, genetic information, age, sexual orientation, gender identity, gender expression, protected veteran status, uniformed service, or any other status protected by federal, state, or local laws. #director
This position will remain open until filled.

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