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Finra Compliance Officer Jobs (NOW HIRING)

MillTech

Compliance Officer

New York, NY · On-site

  • Medical

  • Retirement

  • PTO

Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City ... Serve as primary liaison with regulators, including the SEC, FINRA, NFA and other federal and state ...

Diversify

Junior Compliance Officer

Sandy, UT · On-site

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

The Junior Compliance Officer supports the Chief Compliance Officer and the Senior Compliance ... This is a hands-on role for someone who wants to build deep, practical fluency in SEC and FINRA ...

Diversify

Junior Compliance Officer

South Jordan, UT · On-site

$75K - $80K/yr

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

The Junior Compliance Officer supports the Chief Compliance Officer and the Senior Compliance ... This is a hands-on role for someone who wants to build deep, practical fluency in SEC and FINRA ...

Diversify

Junior Compliance Officer

South Jordan, UT · On-site

  • Medical

  • Dental

  • Vision

  • Retirement

  • PTO

The Junior Compliance Officer supports the Chief Compliance Officer and the Senior Compliance ... This is a hands-on role for someone who wants to build deep, practical fluency in SEC and FINRA ...

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site +1

The Compliance Officer responsibilities may include providing compliance surveillance, monitoring ... FINRA Series 7 is required. Series 24 and 53 licenses preferred. * Working knowledge of FINRA, SEC ...

Hilltop Holdings

Compliance Officer

Dallas, TX · On-site

The Compliance Officer responsibilities may include providing compliance surveillance, monitoring ... FINRA Series 7 is required. Series 24 and 53 licenses preferred. * Working knowledge of FINRA, SEC ...

AGC Consulting

PR · On-site

The Compliance Officer will assist in monitoring daily activities, maintaining records, and ... Perform FINRA Branch Office Inspections * 3120/3130 and 206(4)-7 annual testing for FINRA and SEC

P2P

Chief Compliance Officer

Stamford, CT · On-site

$175 - $225/hr

Reporting to the Chief Legal Officer, the CCO is the firm's senior compliance authority ... Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking on an ongoing basis and translate regulatory ...

Equity Trust

Senior Compliance Officer

Dallas, TX · Hybrid

... Compliance Officer reports directly to the Risk and Compliance Operations Officer and plays a ... Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and ...

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Finra Compliance Officer information

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$31.5K

$98.9K

$207.5K

How much do finra compliance officer jobs pay per year?

As of Aug 18, 2026, the average yearly pay for finra compliance officer in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What is a Finra Compliance Officer?

A FINRA Compliance Officer is responsible for ensuring that a financial firm complies with the regulations set by the Financial Industry Regulatory Authority (FINRA). They develop, implement, and oversee compliance programs, monitor trading activities, and conduct audits to prevent regulatory violations. Additionally, they provide training to employees and serve as a liaison between the firm and regulatory bodies. Their role is crucial in maintaining ethical standards and avoiding legal issues that could impact the firm’s reputation and operations.

What are the key skills and qualifications needed to thrive as a Finra Compliance Officer?

A Finra Compliance Officer needs comprehensive knowledge of FINRA regulations, securities laws, and internal compliance procedures, often backed by a relevant bachelor's degree and industry certifications such as the Series 7 or Series 24 licenses. Familiarity with compliance monitoring tools, regulatory filing systems, and documentation software is typically required. Strong analytical thinking, attention to detail, and clear communication skills distinguish top performers in this role. These capabilities are crucial to ensuring an organization operates within regulatory guidelines, thereby minimizing legal risks and maintaining trust with clients and governing bodies.

What are some of the main challenges faced by a Finra Compliance Officer in a finance firm?

Finra Compliance Officers often face the challenge of keeping up with frequent changes in regulatory requirements and ensuring that all organizational practices are updated promptly. They must balance rigorous oversight with supporting business goals, sometimes navigating complex or ambiguous rules. Working closely with legal teams, traders, and operations, they often act as a bridge between regulators and internal departments. Successful officers are proactive problem-solvers who stay current on industry changes and foster a culture of compliance throughout their organization.

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Finra Compliance Officer jobs near you
Infographic showing various Finra Compliance Officer job openings in the United States as of August 2026, with employment types broken down into 98% Full Time, and 2% Contract. Highlights an 74% In-person, 13% Hybrid, and 13% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Officer & AML Manager

AGC Consulting

Alpharetta, GA • On-site

Full-time

This job post has expired today. Applications are no longer accepted.

Job description

About the Role


We are seeking a highly skilled Compliance & AML Manager to support and enhance the firm’s regulatory, supervisory, and anti–money laundering programs. This individual contributor role is ideal for a detail-oriented, analytical professional with strong experience in FINRA compliance, regulatory reporting, documentation standards, and surveillance systems. The Compliance & AML Manager will report to the Compliance Manager and Chief Compliance Officer.

Key Responsibilities


✔ Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts
✔ Perform FINRA Branch Office Inspections and prepare corresponding reports
✔ Manage the firm’s Continuing Education Program for Associated Persons
✔ Assist with developing and delivering internal compliance training
✔ Lead customer onboarding processes, including due diligence, account documentation review, and ongoing monitoring
✔ Support AML program activities including transaction monitoring, suspicious activity review, and documentation management
✔ Monitor communications through surveillance platforms (Actimize, Global Relay, Sycamore/Investedge)
✔ Participate in internal audits, regulatory exams, and ongoing compliance initiatives
✔ Review and document FinCEN notices and ensure appropriate follow-up

Qualifications


✔ 3–5 years of experience in a compliance role within a broker-dealer or financial services firm
✔ FINRA Series 7 required
✔ Strong understanding of FINRA/SEC rules and AML regulatory requirements
✔ Excellent analytical, documentation, and problem-solving skills
✔ Ability to work independently, manage competing priorities, and maintain a high level of confidentiality
✔ Strong communication skills and comfort interacting with regulators, auditors, and internal stakeholders

We are an Equal Opportunity Employer.