ZipRecruiter

Log In

1

Finra Analyst Jobs in Arizona (NOW HIRING)

Osaic

Branch Office Examiner

Scottsdale, AZ · On-site +1

$65K - $75K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

... 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 ...

U.S. Bank

Special Requirements Direct SRC Analyst

Tempe, AZ · On-site

$66K - $78K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Strong analytical, process facilitation and project management skills * Effective presentation ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

US Bank

Special Requirements Direct SRC Analyst

Tempe, AZ · On-site

$66K - $78K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Strong analytical, process facilitation and project management skills * Effective presentation ... In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration ...

previous page

Showing results 41-60

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 Aug 20, 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 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?

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.

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 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

GFC Investigator (Brokerage - AML)

Bank of America

Phoenix, AZ • On-site

$68K - $102K/yr

Full-time

PTO

Re-posted 2 days ago

Bank Of America rating

8.2

Company rating: 8.2 out of 10

Based on 529 frontline employees who took The Breakroom Quiz

51st of 171 rated banks

Job description

Job Description:
At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.
Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.
Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.
At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!
The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business relevant to the Investigators specific area of responsibility, specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this role include completing investigations while ensuring cases meet or exceed closure and quality metrics, reporting facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement. This role may partner with GFCC Risk Management, front line units or other stakeholders to resolve investigations. This role ultimately reports to investigations teams responsible for coverage over Special Investigations, Global Markets, or Global Wealth and Investment Management
Responsibilities:
  • Completes investigations while overseeing cases meet or exceed closure and quality metrics
  • Completes Suspicious Activity Reports (SAR) in a timely and accurate manner for submission to regulators and/or law enforcement
  • Reports facts of the investigation to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations
  • Performs quality control functions, training, communications, guidance, monitoring scenario development/enhancement input and testing, or law enforcement liaison responsibilities in an investigative support role

Required Qualifications:
  • Minimum of five years of relevant experience
  • Understanding of Retail Brokerage Products, Clients, and Services, such as Equities, Fixed Income Products, Structured Investments, Securitized Products, Mutual Funds, and entity structures, such as Personal Holding Companies, Retirement and Trust Accounts
  • FINRA Securities Essential Exam/ FINRA Series 7, Series 6 or relevant experience in the areas of back office operations, Margin, ACAT Transfer
  • Suspicious Activity Reporting (SAR)
  • Stakeholder Management (FLU, Business Controls, Risk)
  • Understanding of Rules, Regulations, and Compliance (FINRA/SEC)

Desired Qualifications:
  • Bachelor's Degree in related field
  • Experience in financial services and/or a related government entity
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Data Management, Review, and Analysis
  • FINRA Services Principal Licensure (Series 4, 24, 53,9/10)
  • Certified Anti-Money Laundering Specialist (CAMS)
  • Knowledge of Alternative Investments ( Private Equity, Venture Capital, etc.)
  • Familiarity with Discretionary Trading Products

Skills:
  • Fraud Management
  • Policies, Procedures, and Guidelines Management
  • Reporting
  • Risk Management
  • Coaching
  • Issue Management
  • Talent Development
  • Critical Thinking
  • Written Communications
  • Data Analysis
  • Regulatory Compliance
  • Investigation Management

Technical Skills:
  • AML Regulatory Knowledge
  • Case Investigation & Resolution
  • Customer Due Diligence
  • Enhanced Due Diligence
  • Financial Crimes Risk Programs
  • High Risk Activities & Typologies
  • Products, Services and Acumen- Global Financial Crimes
  • Risk Identification & Assessment
  • Risk Governance & Reporting

Shift:
1st shift (United States of America)
Hours Per Week:
40
Pay Transparency details
US - NJ - Jersey City - 525 Washington Blvd (NJ2525), US - NJ - Pennington - 1600 American Blvd - Hopewell Bldg 6 (NJ2600)
Pay and benefits information
Pay range
$68,500.00 - $102,000.00 annualized salary, offers to be determined based on experience, education and skill set.
Discretionary incentive eligible
This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.
Benefits
This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.

What Bank Of America employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom

Bank Of America logo

About Bank Of America

Sourced by ZipRecruiter

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We're devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Industry

Finance and insurance

Company size

10,000+ Employees

Headquarters location

Charlotte, NC, US

Social media

FacebookTwitter

View All Bank Of America Jobs

Apply