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Finra Analyst Jobs in Arizona (NOW HIRING)

US Bank

SBA Credit Analyst

Tempe, AZ

$98K - $115K/yr

The Credit Analyst will use such tools to compare and evaluate possible courses of action and will ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

New

US Bank

Credit Analyst 6

Tempe, AZ · On-site

$105K - $124K/yr

The Credit Analyst will use such tools to compare and evaluate possible courses of action and will ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

US Bank

Compensation Analyst

Tempe, AZ · On-site

$71K - $84K/yr

Participates in compensation surveys, prepares s, conducts job analyses, evaluates jobs by pricing ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

US Bank

PWM Investment Analyst

Scottsdale, AZ · On-site

$75K - $89K/yr

Private Wealth Management (PWM) Analysts have shared responsibility for soliciting, developing ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

US Bank

Credit Support Analyst

Tempe, AZ

$22.50 - $30/hr

Completes accurate and consistent financial statements spreads, quarterly trend analyses, and ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

U.S. Bank

Credit Support Analyst

Tempe, AZ · On-site

$22.50 - $30/hr

Completes accurate and consistent financial statements spreads, quarterly trend analyses, and ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

LPL Financial

AVP, Digital Enablement

Tempe, AZ

$104K - $174K/yr

... analytical or AI model lifecycles within a financial services or similarly regulated environment - including monitoring validation and change management activities. * Working knowledge of FINRA, SEC ...

Advisor Group

Branch Office Examiner

Scottsdale, AZ · On-site

$65K - $75K/yr

... analyze information. * Must be detail-oriented, investigative and the ability to work independently. Preferred Requirements: * Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or ...

Osaic

Branch Office Examiner

Scottsdale, AZ · On-site +1

$65K - $75K/yr

... analyze information. * Must be detail-oriented, investigative and the ability to work independently. Preferred Requirements: * Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or ...

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All JobsFinra Analyst JobsFinra Analyst Jobs in Arizona

Finra Analyst information

See Arizona salary details

$28.9K

$68.3K

$121.1K

How much do finra analyst jobs pay per year?

As of Jul 30, 2026, the average yearly pay for finra analyst in Arizona is $68,271.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,900.00 and $81,100.00 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 are the typical daily responsibilities of a FINRA Analyst, and how do they collaborate with other teams?

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, and why are they important?

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?

AspectFinra AnalystCompliance Analyst
CertificationsFINRA licenses, Series 7/63Certifications vary, often include FINRA licenses
Work EnvironmentFinancial firms, brokerage firmsFinancial institutions, corporations, regulatory agencies
Industry UsageUsed primarily in securities and brokerage firmsUsed across various industries with regulatory requirements
Job FocusMonitoring compliance with FINRA rules, regulatory reportingEnsuring 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.

What are popular job titles related to Finra Analyst jobs in Arizona? For Finra Analyst jobs in Arizona, the most frequently searched job titles are:
What job categories do people searching Finra Analyst jobs in Arizona look for? The top searched job categories for Finra Analyst jobs in Arizona are:
What cities in Arizona are hiring for Finra Analyst jobs? Cities in Arizona with the most Finra Analyst job openings:
Finra Analyst jobs near you

Advertising and Supervision Analyst

kestra

Tempe, AZ

Other

Re-posted 24 days ago

Job description

Lead with Purpose. Partner with Impact. 

The position will be operated within a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. This position reports to the Director of Advertising Compliance. The individual is responsible for reviewing advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives.  

What you’ll Do:

  • To perform this job successfully, individual must be able to execute each essential duty: 
  • Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies.  
  • Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.  
  • Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.  
  • Responsible for the supervisory review of written and electronic correspondence 
  • Responsible for the supervisory review of outside business activities (OBA) 
  • Participate in the training and mentorship of Advertising Compliance Analysts.  
  • Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.  
  • Assist in training internal teams and field staff on advertising processes, systems, and regulations.  
  • Elevate relevant questions or concerns to senior analysts or management as appropriate.  
  • File advertising and communications with FINRA as required.  
  • Conduct regulatory research as needed.  
  • Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment.  

 

What You Bring: 

  • Bachelor’s Degree preferred 
  • Minimum 5 years industry experience 
  • To perform this job successfully, the individual should demonstrate the following: 
  • Consistent delivery of excellent customer service.  
  • Strong understanding of digital marketing trends, content strategy, and social media use in financial services.  
  • Experience working within a dual-registrant environment (broker-dealer and RIA).  
  • Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising.  
  • In-depth familiarity with FINRA and SEC advertising/communications regulations.  
  • Ability to interpret and reconcile regulatory rules with proposed advertising materials.  
  • Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively.  
  • Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment.  
  • Understanding of securities and insurance products, as well as investment advisory services.  
  • FINRA Series 7 License required 
  • FINRA Series 24 License required  
  • Series 66 within 3 months of hire.   

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