Analyze investment opportunities and client needs, and recommend appropriate strategies * Maintain ... Minimum of 5 years FINRA Registration preferred KNOWLEDGE/SKILLS * Extensive knowledge around ...
Analyze investment opportunities and client needs, and recommend appropriate strategies * Maintain ... Minimum of 5 years FINRA Registration preferred KNOWLEDGE/SKILLS * Extensive knowledge around ...
Analyze investment opportunities and client needs, and recommend appropriate strategies * Maintain ... Minimum of 5 years FINRA Registration preferred KNOWLEDGE/SKILLS * Extensive knowledge around ...
Analyze investment opportunities and client needs, and recommend appropriate strategies * Maintain ... Minimum of 5 years FINRA Registration preferred KNOWLEDGE/SKILLS * Extensive knowledge around ...
Preferred Skills Client Prospecting, Client Relationship Building, Credit Risk Analysis, Customer ... Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66 (or ...
Preferred Skills Client Prospecting, Client Relationship Building, Credit Risk Analysis, Customer ... Education Bachelors Certifications No Required Certification(s) Licenses FINRA Series 7 and 66 (or ...
The role also incorporates consultative responsibilities including analyzing business needs ... FINRA Securities Industry Essentials Examination and Series 6 or 7 and 63 licenses required. Life ...
The role also incorporates consultative responsibilities including analyzing business needs ... FINRA Securities Industry Essentials Examination and Series 6 or 7 and 63 licenses required. Life ...
Conduct comprehensive financial needs analysis. * Develop customized financial strategies based on ... Active FINRA Series 7 and Series 66 (or Series 63 & 65) licenses required. * Active Life and Health ...
Quick apply
Conduct comprehensive financial needs analysis. * Develop customized financial strategies based on ... Active FINRA Series 7 and Series 66 (or Series 63 & 65) licenses required. * Active Life and Health ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Wealth Advisor
$80K - $95K/yr
... analyze their financial landscape and develop recommendations that help them work towards well ... University (Degree) Preferred Work Experience * 3+ Years Required; 5+ Years Preferred FINRA ...
Wealth Advisor
$80K - $95K/yr
... analyze their financial landscape and develop recommendations that help them work towards well ... University (Degree) Preferred Work Experience * 3+ Years Required; 5+ Years Preferred FINRA ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Gadsden, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Gadsden, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Gadsden, AL · On-site
$61K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... of FINRA and SIPC, and Northwestern Mutual Wealth Management Company ® (NMWMC) (Investment ...
Financial Advisor
Gadsden, AL · On-site
$61K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... of FINRA and SIPC, and Northwestern Mutual Wealth Management Company ® (NMWMC) (Investment ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Hoover, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
$61K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... of FINRA and SIPC, and Northwestern Mutual Wealth Management Company ® (NMWMC) (Investment ...
Financial Advisor
$61K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... of FINRA and SIPC, and Northwestern Mutual Wealth Management Company ® (NMWMC) (Investment ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Financial Advisor
Birmingham, AL · On-site
$137K - $250K/yr
... Analysis Northwestern Mutual's proprietary planning software helps you educate your clients and ... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory ...
Finra Analyst information
See Alabama salary details
$28.1K - $36.3K
11% of jobs
$36.3K - $44.4K
9% of jobs
$47.2K is the 25th percentile. Wages below this are outliers.
$44.4K - $52.6K
15% of jobs
$52.6K - $60.7K
15% of jobs
The median wage is $61K / yr.
$60.7K - $68.9K
18% of jobs
$74.8K is the 75th percentile. Wages above this are outliers.
$68.9K - $77K
11% of jobs
$77K - $85.2K
7% of jobs
$85.2K - $93.4K
5% of jobs
$93.4K - $101.5K
4% of jobs
$101.5K - $109.7K
2% of jobs
$109.7K - $117.8K
3% of jobs
$28.1K
$66.4K
$117.8K
How much do finra analyst jobs pay per year?
As of Aug 19, 2026, the average yearly pay for finra analyst in Alabama is $66,403.00, according to ZipRecruiter salary data. Most workers in this role earn between $47,600.00 and $78,900.00 per year, depending on experience, location, and employer.
What is a FINRA analyst?
A FINRA Analyst is a professional who works for the Financial Industry Regulatory Authority (FINRA), helping to oversee and regulate brokerage firms and their registered representatives. Their responsibilities typically include analyzing financial data, conducting compliance reviews, investigating potential violations, and ensuring that member firms adhere to industry regulations. FINRA Analysts play a crucial role in maintaining market integrity and protecting investors by monitoring trading activities and firm operations. They may also assist in drafting reports, presenting findings, and recommending corrective actions when necessary.
What does a FINRA analyst do?
As a FINRA Analyst, your daily responsibilities generally include conducting compliance reviews, analyzing trading activity for potential violations, and preparing detailed reports for regulatory purposes. Analysts frequently collaborate with legal, compliance, and technology teams to investigate unusual trading patterns and ensure adherence to industry regulations. Effective communication and teamwork are essential, as analysts must often share findings and coordinate actions with other departments to maintain market integrity.
What are the key skills and qualifications needed to thrive as a FINRA analyst?
To thrive as a FINRA Analyst, you need a strong understanding of financial markets, regulatory compliance, and data analysis, typically supported by a relevant bachelor's degree in finance, accounting, or business. Familiarity with regulatory systems such as CRD, FINRA Gateway, and proficiency in Excel or data analytics tools is often required. Attention to detail, strong analytical thinking, and clear communication are vital soft skills for success in this role. These skills ensure accurate regulatory oversight, effective risk assessment, and clear reporting within the complex financial industry.
What is the difference between Finra Analyst vs Compliance Analyst?
| Aspect | Finra Analyst | Compliance Analyst |
|---|---|---|
| Certifications | FINRA licenses, Series 7/63 | Certifications vary, often include FINRA licenses |
| Work Environment | Financial firms, brokerage firms | Financial institutions, corporations, regulatory agencies |
| Industry Usage | Used primarily in securities and brokerage firms | Used across various industries with regulatory requirements |
| Job Focus | Monitoring compliance with FINRA rules, regulatory reporting | Ensuring adherence to legal and regulatory standards |
Both Finra Analysts and Compliance Analysts work within regulatory frameworks in financial services. Finra Analysts specifically focus on FINRA rules and securities regulations, often requiring Series licenses. Compliance Analysts have a broader scope, ensuring overall adherence to legal standards across industries. While their roles overlap in regulatory compliance, Finra Analysts are more specialized in securities regulation and reporting.
Does FINRA pay well?
A FINRA analyst's salary typically reflects industry standards for financial regulation roles, with entry-level positions starting around $50,000 to $70,000 annually and experienced analysts earning over $100,000. Compensation can vary based on experience, location, and certifications such as Series 7 or Series 24, and often includes benefits like bonuses and retirement plans.
How much do FINRA analysts make?
FINRA analysts typically earn an average salary ranging from $60,000 to $90,000 annually, depending on experience, location, and specific responsibilities. Entry-level positions may start lower, while experienced analysts with certifications like Series 7 or 63 can earn higher salaries. Compensation often includes benefits and opportunities for professional development within the financial regulatory environment.
Is working for FINRA a good career?
A FINRA analyst role offers opportunities in regulatory compliance, financial analysis, and securities oversight, often requiring knowledge of industry rules and certifications such as Series 7 or 63. It provides a stable career path within the financial services industry, with potential for advancement and skill development in finance and compliance areas.
What are popular job titles related to Finra Analyst jobs in Alabama?
For Finra Analyst jobs in Alabama, the most frequently searched job titles are:
What job categories do people searching Finra Analyst jobs in Alabama look for?
The top searched job categories for Finra Analyst jobs in Alabama are:
What cities in Alabama are hiring for Finra Analyst jobs?
Cities in Alabama with the most Finra Analyst job openings:
Full-time
Posted 15 days ago
Morgan Stanley rating
8.4
Based on 155 frontline employees who took The Breakroom Quiz
31st of 150 rated financial services
Job description
POSITION SUMMARY:
The Investment Consultant - Relationship Manager on a FA/PWA team is responsible for the development, maintenance, and oversight of relationships with new and existing clients. The Relationship Manager combines personal skills with all the resources of Morgan Stanley Smith Barney for the purpose of helping clients realize their financial goals. In collaboration with the Financial Advisor Team, Relationship Managers are responsible for assessing a client's circumstances and objectives to provide individualized, highly strategic Investment consulting. Relationship Managers have access to a full range of wealth building, managing, and preserving services throughout the Firm that they will offer to the clients of the Financial Advisor teams they join.
DUTIES AND RESPONSIBILITIES:
EDUCATION AND/OR EXPERIENCE
KNOWLEDGE/SKILLS
REPORTS TO:
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
The Investment Consultant - Relationship Manager on a FA/PWA team is responsible for the development, maintenance, and oversight of relationships with new and existing clients. The Relationship Manager combines personal skills with all the resources of Morgan Stanley Smith Barney for the purpose of helping clients realize their financial goals. In collaboration with the Financial Advisor Team, Relationship Managers are responsible for assessing a client's circumstances and objectives to provide individualized, highly strategic Investment consulting. Relationship Managers have access to a full range of wealth building, managing, and preserving services throughout the Firm that they will offer to the clients of the Financial Advisor teams they join.
DUTIES AND RESPONSIBILITIES:
- Advise clients in accordance with the Team's agreed upon strategy
- Analyze investment opportunities and client needs, and recommend appropriate strategies
- Maintain and develop client relationships by developing strategies to meet their financial goals through the use of financial planning and wealth management
- Prepare and deliver presentations/seminars to clients and prospects for business development purposes, as needed
- Comply with all industry rules and regulations
- Additional tasks as needed
EDUCATION AND/OR EXPERIENCE
- Minimum of bachelor's degree or comparable professional certification required
- Active Series 7, 63 and must maintain investment adviser representative (RA) registration, where required, in their place of business state and any other state(s) where the individual maintains a physical place of business. Additional product licenses may be required
- Product and state licenses must be in parallel to Financial Advisors on the Team
- At least 5 year(s) of business experience and proven success in a previous career
- Minimum of 5 years FINRA Registration preferred
KNOWLEDGE/SKILLS
- Extensive knowledge around financial industry and product knowledge
- Ability to communicate effectively with co-workers and clients
- Excellent written and oral communication skills
- Knowledge of applicable compliance rules and regulations and firm policies
REPORTS TO:
- Branch Manager or Associate Market Manager
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
What Morgan Stanley employees say
Pay
Benefits
Hours and flexibility
Workplace
Get the full story on Breakroom
About Morgan Stanley
Sourced by ZipRecruiter
Since our founding in 1935, Morgan Stanley has been committed to serving local and global communities by being a market leader in Investment Banking, Securities, Investment Management and Wealth Management services. Our belief that capital can work to benefit all of society inspires us to put our clients first, lead with exceptional ideas, hold our business to high ethical standards, and give back to communities around the world through philanthropy and public works. We have a smart casual dress code and operate under a philosophy that balances work with your personal life. Our people's talent, passion, and expertise is the fuel on which our organization runs, therefore, our people are our greatest asset. Diversity and inclusiveness is a critical component for our success and it is our priority to continue building a firm that values the unique background and identity of every one of our employees, thus enabling our people to bring their full, and best selves to work each day. Teamwork is the essence of our approach, and so are the values of integrity, excellence, and enabling our people to achieve at the highest levels. We invite you to learn more about our commitment to diversity and serving our community.
Industry
Finance and insurance and software development
Company size
10,000+ Employees
Headquarters location
New York, NY, US