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Entry Level Compliance Finra Jobs (NOW HIRING)

BTIG

Compliance Officer, Analyst

San Francisco, CA

$60K - $75K/yr

This entry-level role is critical in supporting the firm's Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal ...

New

BTIG

Compliance Officer, Analyst

San Francisco, CA · On-site

$60K - $75K/yr

This entry-level role is critical in supporting the firm's Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal ...

New

Wells Fargo

Senior Client Associate

Frontenac, MO

Specific compliance policies may apply regarding outside activities and/or personal investing ... This position is subject to FINRA background screening requirements. Candidates must successfully ...

New

ACC Recruiters

Entry Level Wealth Manager

Saint Louis, MO · On-site

$39K - $50K/yr

... Learn the operations, compliance, and business development aspects of financial advising ... FINRA SIE, Series 7, and 66 exams within six months of hire. • Self-motivated with a strong ...

TIAA

Distribution Analyst

Charlotte, NC · On-site

The Distribution Analyst is an entry level role within our sales organization, where you will have ... Coordinate and facilitate conference calls, compliance reviews, update weekly marketing packets.

TIAA

Distribution Analyst

Chicago, IL · On-site

The Distribution Analyst is an entry level role within our sales organization, where you will have ... Coordinate and facilitate conference calls, compliance reviews, update weekly marketing packets.

TIAA

Distribution Analyst

Charlotte, NC · On-site

The Distribution Analyst is an entry level role within our sales organization, where you will have ... Coordinate and facilitate conference calls, compliance reviews, update weekly marketing packets.

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Entry Level Compliance Finra information

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$49.5K

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How much do entry level compliance finra jobs pay per year?

As of Jul 14, 2026, the average yearly pay for entry level compliance finra in the United States is $49,486.00, according to ZipRecruiter salary data. Most workers in this role earn between $36,000.00 and $57,000.00 per year, depending on experience, location, and employer.

What are the typical daily responsibilities of an Entry Level Compliance professional working with FINRA regulations?

Entry Level Compliance professionals focused on FINRA regulations typically spend their days reviewing and monitoring firm activities to ensure adherence to industry standards. This involves tasks such as assisting with internal audits, maintaining accurate records, preparing reports for regulatory filings, and supporting the compliance team in investigating potential violations. You may also help update and communicate new FINRA policies to staff and participate in training sessions. Collaboration with other departments like legal, operations, and risk management is common to ensure a well-rounded compliance approach.

What are the key skills and qualifications needed to thrive as an Entry Level Compliance professional in a FINRA-regulated environment, and why are they important?

To thrive as an Entry Level Compliance professional in a FINRA-regulated setting, you need a foundational understanding of financial regulations, attention to detail, and a bachelor’s degree in finance, business, or a related field. Familiarity with compliance management systems, Microsoft Excel, and sometimes FINRA’s Firm Gateway platform is typically expected. Strong analytical thinking, integrity, and effective communication skills set candidates apart in this role. These competencies are crucial for ensuring regulatory adherence, minimizing risk, and supporting the firm's ethical and operational standards.

What are entry level compliance roles at FINRA?

Entry level compliance roles at FINRA (Financial Industry Regulatory Authority) involve monitoring and enforcing rules that govern brokerage firms and their registered representatives. Employees in these roles typically review firm activities, conduct audits, and ensure adherence to regulations to protect investors. They may also assist with investigations, gather and analyze data, and prepare reports on compliance issues. These positions are ideal for recent graduates or those new to the financial regulatory field, offering opportunities to learn about regulatory processes and gain valuable industry experience.
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Entry Level Compliance Finra jobs near you
Infographic showing various Entry Level Compliance Finra job openings in the United States as of July 2026, with employment types broken down into 94% Full Time, and 6% Part Time. Highlights an 56% In-person, 13% Hybrid, and 31% Remote job distribution, with an average salary of $49,486 per year, or $23.8 per hour.
Compliance Officer, Analyst

Compliance Officer, Analyst

BTIG

San Francisco, CA

$60K - $75K/yr

Other

Posted 5 days ago

New

Job description

Job Purpose:

BTIG seeks a motivated and detail-oriented Compliance Analyst to join our Compliance team. This entry-level role is critical in supporting the firm's Compliance program, ensuring that BTIG is adherence with the rules and regulations of the SEC, FINRA as well as Firm policies. The ideal candidate is organized, adaptable, eager to learn, and should be a team player. 

Duties & Responsibilities:

  • Provide administrative support to the Compliance team as needed.
  • Review of Employee Personal Trade Preclearance Requests  
  • Process background check on request for Account coverage
  • Review/Audit of Employee's Electronic Communications
  • FINCEN review
  • Responsible for tracking and reviewing Of Non-direct feed Employee Account Statements
  • Prime and DMA Documentation audit
  • Adhoc internal audits as needed

Requirements & Qualifications:

  • Bachelor's degree is preferred.
  • 0-2 years of related experience.
  • Excellent written, verbal, visual, and interpersonal communication skills 
  • Strong attention to detail and organizational abilities 
  • Collaborative, professional, and positive attitude 
  • Ability to adapt and prioritize in a fast-paced environment 
  • Curious and open to learning about emerging trends, new rules and regulations and technologies.   We are happy to train you!
  • Discretion and professionalism when working with confidential information 
  • Commitment to maintaining BTIG's high ethical standards and brand reputation 
  • Familiarity with Microsoft Office (Word, PowerPoint, Outlook); advanced proficiency in PowerPoint, Excel charts, are highly preferred 

Important Notes:

  • Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type
  • No phone calls please, the applicant will be contacted within two weeks if successful

About BTIG:

BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.

Compensation: 

  • BTIG offers a competitive compensation and benefits package. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.
  • The current estimated base salary range for this role is $60,000.00 - $75,000.00 per year. Please note that certain positions are eligible for additional forms of compensation such as discretionary bonus or overtime. 

Disclaimer: https://www.btig.com/disclaimer.aspx.

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About BTIG

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

201 - 500 Employees

Headquarters location

San Francisco, CA, US

Year founded

2005

Social media

Twitter

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