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Finra Analyst Jobs in Rochester, NY (NOW HIRING)

KeyBank

Key Private Bank Relationship Manager

Rochester, NY · On-site

$96K - $181K/yr

FINRA License S65 (preferred) * Certified Financial Planner (CFP) (preferred) * Certified Investment Management Analyst (CIMA) (preferred) * Certified Public Accountant (CPA) (preferred) * Chartered ...

Varsity Tutors

Series 7 Tutor

Rochester, NY · Remote

$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 ...

Empower

Retirement Plan Advisor

Rochester, NY · On-site +1

$79K - $112K/yr

This role uses data-driven, analytical thinking to lead impactful conversations with participants ... FINRA Series 6, 63, 65 registrations required within established timeline; current FINRA ...

M&T Bank

Financial Consultant

Rochester, NY · On-site

$26 - $43.34/hr

Based on these analyses, profiles, assesses, and closes sales opportunities for existing and ... FINRA Series 65 or 66 licenses as appropriate M&T Bank is committed to fair, competitive, and ...

Varsity Tutors

Series 16 Tutor

Rochester, NY · Remote

$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 Advisor

Rochester, NY · On-site

... analyze their financial landscape and develop recommendations that help them work towards well ... Required FINRA Registrations * SRC Indicator: Series 7; Series 63; Series 65; Series 66 Licenses ...

Varsity Tutors

SIE Tutor

Rochester, NY · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... type analysis for SIE examination. Guides students through distinguishing security types ...

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Finra Analyst information

See Rochester, NY salary details

$30.6K

$72.3K

$128.3K

How much do finra analyst jobs pay per year?

As of Jun 6, 2026, the average yearly pay for finra analyst in Rochester, NY is $72,284.00, according to ZipRecruiter salary data. Most workers in this role earn between $51,800.00 and $85,800.00 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 Rochester, NY? For Finra Analyst jobs in Rochester, NY, the most frequently searched job titles are:
What job categories do people searching Finra Analyst jobs in Rochester, NY look for? The top searched job categories for Finra Analyst jobs in Rochester, NY are:
What cities near Rochester, NY are hiring for Finra Analyst jobs? Cities near Rochester, NY with the most Finra Analyst job openings:
Finra Analyst jobs near you
Investment Associate - FINRA Registered

Investment Associate - FINRA Registered

Keybank

Rochester, NY • Hybrid

$23.08 - $34.62/hr

Full-time

Medical, Life, Retirement

Posted 15 days ago

KeyBank rating

8.2

Company rating: 8.2 out of 10

Based on 89 frontline employees who took The Breakroom Quiz

38th of 141 rated banks

Job description

Location:

726 Exchange Street, Buffalo New York

Within the Service Center of Key Investment Services (KIS), this individual is responsible for assisting the KIS Sales Force in achieving sales goals, customer service, business growth and client retention. This individual would be a primary contact for clients when their licensed representative is unavailable and assist in building customer loyalty and taking responsibility for customer satisfaction.
ESSENTIAL JOB FUNCTIONS:
Primary job functions would include accepting or assisting with daily activities including heavy trade volume requests from clients and sales force, timely and with a high degree of accuracy. Follow up on all order executions for payment and remittance as required. Accepting and processing of client account maintenance requests from the sales force and clients. Reviewing client requests, accounts and determining appropriate resolution. Recognize and report sales opportunities.
Client contact regarding Required Minimum Distributions. Develop and maintain strong working relationship with clients, sales force and team members.
MARGINAL OR PERIPHERAL FUNCTIONS:
Perform marketing- related activities to promote business growth. Contacting KIS clients for review of accounts and issue resolution. Cross train and back up on various functions within the Service and Support teams. Project involvement and/or assignments from management as required.
REQUIRED QUALIFICATIONS:

  • High School Degree or equivalent required. College Degree in Business or Finance preferred.
  • Industry experience including but not limited to Corporate actions, 1099, statement and cost basis research, collections, New Account Process, Legal and Annuity documentation requirements.
  • Retirement accounts including contribution, distributions and RMD calculations.
  • Securities, Bonds, Annuity in addition to Mutual Fund classes and fee structures.
  • Series 7 and Series 63 required. Life & Health insurance license and Series 66 preferred.
  • Strong written and verbal communication.
  • Excellent customer service and analytical skills.
  • Ability to recognize and understand client issues and develop appropriate responses and solutions.
  • Demonstrate excellent organizational skills and a strong attention to detail.

COMPENSATION AND BENEFITS

This position is eligible to earn a base hourly rate in the range of $23.08 - $34.62 per hour. Placement within the pay range may differ based upon various factors, including but not limited to skills, experience and geographic location. Compensation for this role also includes incentive compensation which may include production, commission, and/or discretionary incentives.

Please click here for a list of benefits for which this position is eligible.

Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.

Job Posting Expiration Date: 06/05/2026 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, genetic information, pregnancy, disability, veteran status or any other characteristic protected by law.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.

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About KeyBank

Sourced by ZipRecruiter

Key is one of the nation's largest bank-based financial services companies. Key provides deposit, lending, cash management, insurance, and investment services to individuals and businesses in 15 states under the name KeyBank National Association through a network of more than 1,200 branches and more than 1,500 ATMs. Key also provides a broad range of sophisticated corporate and investment banking products, such as merger and acquisition advice, public and private debt and equity, syndications, and derivatives to middle market companies in selected industries throughout the United States under the KeyBanc Capital Markets trade name.

Industry

Banking and credit intermediation

Company size

10,000+ Employees

Headquarters location

Cleveland, OH, US

Year founded

1849

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