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Finra Jobs in Iowa (NOW HIRING)

TIAA

Senior Director, Wealth Management - Iowa

Ames, IA

$155K - $180K/yr

FINRA licensing required: Series 7 and Series 66, (or an equivalent combination of Series 63 and Series 65) Preferred Qualifications * 10+ years of experience in the financial services industry, with ...

Empower

Retirement Plan Advisor

Des Moines, IA · On-site +1

$72K - $101K/yr

FINRA Series 6, 63, 65 registrations required within established timeline; current FINRA registrations strongly preferred * FINRA fingerprinting required upon hire What will set you apart * Working ...

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 ...

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How much do finra jobs pay per hour?

As of Jul 5, 2026, the average hourly pay for finra in Iowa is $20.98, according to ZipRecruiter salary data. Most workers in this role earn between $15.58 and $21.92 per hour, depending on experience, location, and employer.

What is a FINRA job?

A FINRA job involves working for the Financial Industry Regulatory Authority, which oversees broker-dealers and securities firms. Roles may include compliance, regulatory enforcement, or administrative positions, often requiring knowledge of financial regulations and relevant certifications. Employees ensure firms adhere to industry rules and protect market integrity.

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 skills are needed for FINRA jobs?

FINRA jobs typically require strong analytical skills, attention to detail, and knowledge of financial regulations and compliance. Effective communication, problem-solving abilities, and proficiency with industry-specific tools or software are also important. Relevant certifications, such as FINRA licenses or securities licenses, may be necessary depending on the role.

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.

What is FINRA and what does it do?

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, and why are they important?

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 is the typical FINRA salary?

FINRA employees' salaries vary depending on the role, experience, and location, but the average salary for a FINRA staff member ranges from approximately $60,000 to $120,000 annually. Entry-level positions such as examiners or analysts typically start around $50,000 to $70,000, while more experienced roles or senior positions can earn over $100,000. Many roles also include benefits such as health insurance and retirement plans.

Is it hard to get a job at FINRA?

Getting a job at FINRA can be competitive, as it is a regulated organization that seeks candidates with relevant financial, compliance, or regulatory experience. Candidates often need a strong educational background, relevant certifications, and sometimes prior industry experience. The hiring process typically involves multiple interviews and background checks.
What are popular job titles related to Finra jobs in Iowa? For Finra jobs in Iowa, the most frequently searched job titles are:
What job categories do people searching Finra jobs in Iowa look for? The top searched job categories for Finra jobs in Iowa are:
What cities in Iowa are hiring for Finra jobs? Cities in Iowa with the most Finra job openings:
Finra jobs near you
Client Service Excellence Representative (FINRA Licensed)

Client Service Excellence Representative (FINRA Licensed)

Vanguard Group

Des Moines, IA • On-site

$70K - $81K/yr

Full-time

Posted 14 days ago

Vanguard rating

8.7

Company rating: 8.7 out of 10

Based on 60 frontline employees who took The Breakroom Quiz

16th of 146 rated financial services

Job description

Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a Client Service Excellence Center associate!
About this Job:
At Vanguard, we have a client-first mentality that we live and breathe every day through our mission, "to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success." Our Client Service Excellence Center associates fulfill our mission by helping our clients through life's biggest moments - from buying their first home to preparing for retirement. In this role, you will connect with clients via inbound phone calls to assist with their account-related needs.
If you have a passion for helping others, building your client services skillset, and giving every investor the best chance for investment success, join our team of "crew" as a Client Service Excellence Center associate!
At Vanguard, we believe in supporting our "crew" personally through all life stages. Our benefits package was designed with you in mind, including benefits centered around financial and career stability, longevity, and balance. Total potential compensation range for your first full year in this role is $70,500 - $81,500 ($62,000 - $72,000 base salary determined by skills and experience, plus quarterly performance-based bonuses, merit increases, and company bonuses). In addition, you'll receive a $20,000 licensing bonus for bringing your active SIE, Series 7, & Series 63 licenses. We also believe in recognizing your commitment to excellence. To celebrate your dedication, we offer milestone rewards in this role:
  • $10,000 at your 3-year anniversary
  • $20,000 at your 5-year anniversary
  • $20,000every 5 years thereafter

Work Model: This role will be fully remote. Although this position is designated as fully remote, it is a condition of the role that you perform all of your work duties from within the state of Iowa.
Licensing Requirement: To be considered for this role, you must hold active FINRA Series 7 and Series 63 licenses. If you do not currently have these licenses or only hold partial licensing, we invite you to explore our other Client Service Excellence Center opportunity-a fully remote role based in Iowa.
Responsibilities:
We are here to simplify the world of investing, meet our clients where they are, and ensure they feel fully supported when they call into Vanguard. As a Client Service Excellence Center associate, you will:
  • Partner with our clients via inbound phone calls to assist them with a wide range of financial inquiries, from account maintenance to identifying and resolving issues.
  • Lead with empathy and an owner's mindset to solve problems, help uncover client needs, and provide timely and accurate solutions to clients.
  • Collaborate with internal departments through various strategic initiatives to continuously improve the client and "crew" experience.

What it takes:
You don't have to be a financial expert to be an advocate for our clients! This role at its core has one main goal: to create and maintain exceptional client experiences. We welcome, and encourage, individuals from all backgrounds - the most important things you need are a passion for helping others, strong client service experience, and a desire to continuously grow your expertise. We have seen most success from individuals with:
  • 3+ years of customer-facing and/or in-bound phone experience, demonstrated by strong interpersonal and client relationship management (CRM) skills.
  • A strong sense of ownership for client outcomes-taking initiative and accountability, anticipating needs, and ensuring every interaction instills trust.
  • A learner's attitude and an appetite to continuously build your knowledge.
  • High school, associate degree, or bachelor's degree.
  • This job requires a Series 7 and 63 regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.
  • A desire for stability and takes pride in building a long-term career in client service.

Special Factors:
Please note new hires may need to be full jurisdiction registered in all US states and territories.
Vanguard is not offering visa sponsorship for this position.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission-we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

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