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Finra Jobs in California (NOW HIRING)

Senior Wealth Advisor

Oakland, CA · On-site

$90 - $140/hr

FINRA Series 65 License or 7 and 66 * Proficient in MS Office Suite and CRMs * CFP designation is preferred Core Competencies Demonstrates expertise in financial planning and client relationship ...

Showing results 41-60

Finra information

See California salary details

$7

$22

$47

How much do finra jobs pay per hour?

As of Aug 19, 2026, the average hourly pay for finra in California is $22.05, according to ZipRecruiter salary data. Most workers in this role earn between $16.35 and $23.03 per hour, depending on experience, location, and employer.

What is FINRA?

FINRA, or the Financial Industry Regulatory Authority, is a self-regulatory organization that oversees brokerage firms and their registered representatives in the United States. Its primary role is to protect investors by ensuring that the securities industry operates fairly and honestly. FINRA writes and enforces rules for broker-dealers, conducts regulatory examinations, and provides education and tools to investors. It also administers qualification exams for securities professionals and manages a dispute resolution forum for investors and firms.

What are the key skills and qualifications needed to thrive as a FINRA compliance analyst?

To thrive as a FINRA Compliance Analyst, you need a solid understanding of securities regulations, risk assessment, and financial industry practices, usually supported by a degree in finance, accounting, or a related field. Familiarity with regulatory compliance software, data analytics tools, and FINRA Rulebook is typically required, and certifications such as the Certified Regulatory Compliance Manager (CRCM) can be valuable. Strong attention to detail, analytical thinking, and effective communication skills help professionals excel in identifying compliance issues and collaborating across departments. These competencies are crucial for ensuring regulatory adherence, minimizing risk, and maintaining the integrity of financial markets.

What are some common challenges faced by professionals working at FINRA, and how are they typically addressed?

Professionals at FINRA often encounter the challenge of keeping up with rapidly evolving financial regulations and market practices. Adapting to frequent regulatory changes requires continuous learning and collaboration across compliance, legal, and technology teams. To address these challenges, FINRA provides ongoing training, access to robust knowledge resources, and encourages a culture of teamwork and open communication. Employees also participate in cross-departmental projects, which helps them stay informed and build expertise in multiple aspects of financial regulation.

What is the difference between Finra vs Securities Analyst?

AspectFinraSecurities Analyst
Required CredentialsFINRA licenses (e.g., Series 7, Series 63)Bachelor's degree, often Series 7 license
Work EnvironmentRegulatory body overseeing broker-dealersFinancial firms, investment banks, asset management
Employer & Industry UsageRegulates and enforces rules for securities firmsAnalyzes securities, provides investment recommendations
Common Search & ComparisonOften compared in regulatory contextCompared in investment analysis and research

Finra is a regulatory organization overseeing broker-dealers and securities firms, requiring specific licenses. Securities Analysts evaluate securities and provide investment insights, often holding similar licenses. While Finra focuses on regulation, Securities Analysts focus on market analysis. Both roles are integral to the securities industry but serve different functions.

Is working for FINRA a good career?

Working for FINRA as a regulatory professional offers a stable career with opportunities in compliance, enforcement, and examination roles. Employees typically require knowledge of securities laws and may need relevant certifications, with a work environment focused on oversight and industry regulation.

What skills are needed for Finra jobs?

Finra jobs typically require strong analytical skills, knowledge of financial regulations, and attention to detail. Candidates often need proficiency in compliance, risk management, and relevant software tools, along with good communication skills and the ability to work under pressure.

What cities in California are hiring for Finra jobs?

Cities in California with the most Finra job openings:

Infographic showing various Finra job openings in California as of August 2026, with employment types broken down into 95% Full Time, and 5% Part Time. Highlights an 72% Physical, 12% Hybrid, and 16% Remote job distribution, with an average salary of $45,858 per year, or $22 per hour.

Vice President, Investment Banking - Biotech

Wells Fargo

San Francisco, CA

$275K/yr

Full-time

Medical, Life, Retirement, PTO

Re-posted 12 days ago


Wells Fargo rating

7.8

Company rating: 7.8 out of 10

Based on 709 frontline employees who took The Breakroom Quiz

89th of 171 rated banks


Job description

The Corporate & Investment Bank (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total relationship with Wells Fargo. Learn more about the career areas and lines of business atwellsfargojobs.com.

About this role:

Wells Fargo is seeking a Lead Investment Banker, Vice President to join our growing Healthcare Investment Banking Group - specifically aligned to Biotech.

In this role, you will:

  • Lead complex initiatives and independently manage client relationships, including origination, structuring, and execution of Corporate and Investment Banking products and services

  • Drive strategic planning and deliver comprehensive solutions in M&A across public and private clients, and Capital Markets

  • Analyze and resolve multi-faceted business and operational challenges, making decisions that influence cross-functional teams and advance new initiatives

  • Apply deep knowledge of products, markets, and clients while ensuring compliance and precision in execution

  • Demonstrate strong organizational skills, attention to detail, and the ability to manage multiple projects in a fast-paced environment, while mentoring peers and fostering collaboration

Required Qualifications:

  • 5+ years of Investment Banking experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • 5+ years of Healthcare Investment Banking experience

  • Experience in Biotech

  • Excellent verbal, written, and interpersonal communication skills

  • Strong track record of originating and executing M&A and capital markets transactions

  • Ability to lead and coach junior staff

  • Ability to communicate effectively, in both written and verbal formats, with senior executive-level leaders & clients

  • Persuasive communication skills with comfort in speaking with business stakeholders & clients

  • A high level of proficiency in Microsoft Office applications, particularly Excel, Word, and PowerPoint

  • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

  • Knowledge and understanding of business development: business vision, strategies, and goals

Job Expectations:

  • Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

  • Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

  • Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

  • This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

  • Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

  • Ability to travel up to 50% of the time

Posting Locations:

  • 500 West 33rd St. - New York, New York 10001

  • 333 Market St. - San Francisco, California 94105

  • 550 S Tryon St. - Charlotte, North Carolina 28202

New York City-Pay Range: $275,000-$275,000

San Francisco-Pay Range: $275,000-$275,000

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

$185,000.00 - $300,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. VisitBenefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

Posting End Date:

23 Aug 2026

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.


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About Wells Fargo

Sourced by ZipRecruiter

Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets, proudly serves one in three U.S. households and more than 10% of small businesses in the U.S., and is a leading middle market banking provider in the U.S. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 41 on Fortune's 2022 rankings of America's largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health and a low-carbon economy.

Industry

Finance and insurance

Company size

10,000+ Employees

Headquarters location

San Francisco, CA, US

Year founded

1852

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