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Finra Analyst Jobs in Iowa (NOW HIRING)

MassMutual

Suitability Principal

Des Moines, IA · Hybrid

$84K - $110K/yr

... analyze complex situations, and make sound business decisions * High School Diploma * All FINRA registered individuals working remote and/or hybrid schedules are subject to either remote or on-site ...

MassMutual

Suitability Principal

Des Moines, IA · Hybrid

$69K - $90K/mo

... analyze complex situations, and make sound business decisions * High School Diploma * All FINRA registered individuals working remote and/or hybrid schedules are subject to either remote or on-site ...

Varsity Tutors

Series 7 Tutor

Iowa City, IA · Remote

$30 - $40/hr

Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...

Varsity Tutors

Series 7 Tutor

Ames, IA · Remote

$30 - $40/hr

Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...

Financial Architects Inc

Entry-Level Wealth Manager

Des Moines, IA · On-site

$39K - $50K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... analytical mindset is a plus • Bachelor's degree in business, finance, or related field required • Familiarity with Microsoft Office/Google Suite/CRM tools is helpful • FINRA Series 7 & 63/66 ...

Financial Integrators

Financial Advisor

Des Moines, IA · On-site

$55K - $85K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Valid FINRA Series 7 and 66 licenses are highly preferred. We will consider non-licensed ... strategies/analysis. * Self-starter, problem solver, goal-oriented, and a dedicated team player ...

Varsity Tutors

Series 16 Tutor

Iowa City, IA · Remote

$18 - $40/hr

Ability to explain SEC research disclosure requirements, FINRA research rules, and analytical report standards while preparing analysts for research supervisory qualification. * Strategic Test-Taking ...

Varsity Tutors

Series 16 Tutor

Ames, IA · Remote

$18 - $40/hr

Ability to explain SEC research disclosure requirements, FINRA research rules, and analytical report standards while preparing analysts for research supervisory qualification. * Strategic Test-Taking ...

TIAA

Wealth Management Client Relationship Manager

Ames, IA · On-site

$71K - $80K/yr

  • Medical

  • Life

  • Retirement

Requiredto have FINRA registrations Series 7, Series 66 or Series 63 and Series 65 * Life & Health ... Analysis, Retirement Planning Selling, Sales, TIAA Products/Services Acumen, Wealth Management ...

US Bank

Wealth Management Advisor

Des Moines, IA

$65K - $80K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... FINRA Series 7, 63, 65 or 66 license, and applicable state insurance license Preferred Skills ... developed analytical and problem-solving skills - Excellent interpersonal, verbal and written ...

US Bank

WM Affluent Associate

Sioux City, IA · On-site

$20 - $24.38/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

... have FINRA SIE, Series 6 or 7, 63 registrations and life, variable life, health and disability ... analytical skills with an emphasis on detail - Ability to handle multiple assignments ...

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All JobsFinra Analyst JobsFinra Analyst Jobs in Iowa

Finra Analyst information

See Iowa salary details

$29.1K

$68.8K

$122.1K

How much do finra analyst jobs pay per year?

As of Aug 18, 2026, the average yearly pay for finra analyst in Iowa is $68,811.00, according to ZipRecruiter salary data. Most workers in this role earn between $49,300.00 and $81,700.00 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 Iowa?

For Finra Analyst jobs in Iowa, the most frequently searched job titles are:

What job categories do people searching Finra Analyst jobs in Iowa look for?

The top searched job categories for Finra Analyst jobs in Iowa are:

What cities in Iowa are hiring for Finra Analyst jobs?

Cities in Iowa with the most Finra Analyst job openings:

Finra Analyst jobs near you

Compliance Analyst, Supervision

Integrity Marketing Group

Des Moines, IA • On-site

Full-time

Re-posted 15 days ago

Integrity Marketing Group rating

7.7

Company rating: 7.7 out of 10

Based on 34 frontline employees who took The Breakroom Quiz

15th of 50 rated marketing agency

Job description

We are seeking a Compliance Analyst - Supervision responsible for supervising all activities of registered representatives and investment advisor representatives and serving as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry. The following are the primary responsibilities for this role based in Urbandale, Iowa:
  • Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities.
  • Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity.
  • Provide regular supervision reports and updates to the Chief Compliance Officer (CCO).
  • Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides
  • Assist with Investment Adviser and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120
  • Assist with the development of compliance training and education materials for financial professionals and track completion
  • Monitor and review trading activity in representatives outside brokerage accounts
  • Contribute to regulatory change management assignments and assist with compliance manual and policy updates
  • Other duties and projects as assigned

Desired Skills and Experience:
  • Bachelor's degree or equivalent combination of education and relevant work experience
  • Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience
  • Active FINRA SIE, Series 7 and Series 24 licenses required, Series 4 & 53 within 12 months
  • Committed to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamwork
  • Excellent interpersonal communication skills, both written and verbal
  • Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
  • Ability to work independently and take initiative while being part of a team
  • Proven work ethic with a high level of integrity to build trust with our clients and colleagues
  • Excited about joining an experienced team and contributing to the direction and growth of the company
  • Experience with Pershing, Schwab and Fidelity's platforms preferred
  • Familiarity with variable annuity and variable life products helpful

About Integrity
Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.
Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.

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