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Finra Analyst Jobs in Rochester, NY (NOW HIRING)

Manning & Napier

Compliance Analyst

Fairport, NY · On-site

$80K - $100K/yr

Summary Manning & Napier is seeking a Compliance Analyst to report to the Chief Compliance Officer ... Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA ...

Manning & Napier

Compliance Analyst

Fairport, NY · On-site

$80K - $100K/yr

Summary Manning & Napier is seeking a Compliance Analyst to report to the Chief Compliance Officer ... Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA ...

Varsity Tutors

Series 7 Tutor

Rochester, NY · 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 16 Tutor

Rochester, NY · 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

SIE Tutor

Rochester, NY · Remote

$18 - $40/hr

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

Safran

Outside Sales

West Henrietta, NY · Remote

... FINRA / CAT compliance, and emerging blockchain timing use cases * Surpass annual sales targets and contribute to forecasting accuracy * Monitor and analyze fintech timing market trends, regulatory ...

Safran

Outside Sales

West Henrietta, NY · On-site +1

... FINRA / CAT compliance, and emerging blockchain timing use cases * Surpass annual sales targets and contribute to forecasting accuracy * Monitor and analyze fintech timing market trends, regulatory ...

Safran

Outside Sales

West Henrietta, NY · On-site

$70K - $125K/yr

... FINRA / CAT compliance, and emerging blockchain timing use cases * Surpass annual sales targets and contribute to forecasting accuracy * Monitor and analyze fintech timing market trends, regulatory ...

Northwestern Mutual

Financial Advisor

Pittsford, NY · 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 ...

Northwestern Mutual

Financial Advisor

Pittsford, NY · 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 ...

Northwestern Mutual

Financial Advisor

Pittsford, NY · 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 ...

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All JobsFinra Analyst JobsFinra Analyst Jobs in Rochester, NY

Finra Analyst information

See Rochester, NY salary details

$30.8K

$72.7K

$129.1K

How much do finra analyst jobs pay per year?

As of Aug 29, 2026, the average yearly pay for finra analyst in Rochester, NY is $72,727.00, according to ZipRecruiter salary data. Most workers in this role earn between $52,100.00 and $86,400.00 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 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

Compliance Analyst

Manning & Napier

Fairport, NY • On-site

$80K - $100K/yr

Full-time

Posted 8 days ago

Job description

Summary

Manning & Napier is seeking a Compliance Analyst to report to the Chief Compliance Officer (CCO) and play an integral role in the firm's compliance program and regulatory affairs. This role will work closely with the CCO and broader compliance/legal team to foster the firm's culture of compliance and support the design, implementation, and ongoing administration of the firm's compliance framework. This position offers broad exposure to the Firm's various compliance programs, including investment adviser, broker-dealer and fund compliance, regulatory filings, marketing reviews, and strategic business initiatives. Specific duties may be adjusted over time as the Compliance Team and business needs evolve.

The ideal candidate is detail-oriented, intellectually curious, organized, and comfortable operating in a fast-paced environment, with evolving business priorities.

Responsibilities

  • Support various functions related to the maintenance of Compliance Programs, including procedure updates, process implementation, annual assessments, review of exceptions, and training
  • Stay current on industry trends and changes to regulations and legislation and assist in evaluating potential impact and updating compliance programs
  • Assist with compliance reporting, risk assessments, annual reviews, and vendor reviews
  • Support the review, monitoring, and filing of regulatory disclosures, including SEC and FINRA filings
  • Maintain and oversee all communications-related policies and procedures
  • Serve as primary liaison between Marketing and Compliance, and review and approve marketing material, Requests for Information and Requests for Proposal
  • Administer and perform electronic communications surveillance and maintain related policies and procedures
  • Support routine supervision over sales practice policies and procedures
  • Conduct branch office audits and support internal and external regulatory examinations
  • Participate in Compliance Department meetings, training, and cross-training initiatives
  • Assist with product and corporate initiatives and other projects, as needed

Qualifications

  • Bachelor's degree, with a strong record of academic achievement
  • 3+ years of compliance experience in the financial industry or related field
  • Active SIE, Series 7, 24, and 63 or 66 licenses, or attainment of required licenses within the first year
  • Strong communication and organizational skills, and high attention to detail
  • Ability to adapt to ever-changing regulatory environment and address competing/conflicting demands
  • Strategic problem solver committed to collaboration, innovation, and team function, with the highest standards of personal and professional integrity and ethics

Compensation: $80,000-$100,000 expected base salary

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