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$6

$19

$41

How much do finra jobs pay per hour?

As of Aug 9, 2026, the average hourly pay for finra in Kentucky is $19.40, according to ZipRecruiter salary data. Most workers in this role earn between $14.42 and $20.24 per hour, depending on experience, location, and employer.

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 knowledge of securities regulations, financial markets, and compliance procedures. Skills in analytical thinking, attention to detail, communication, and proficiency with industry-specific tools or software are also important. Relevant certifications such as Series 7 or Series 63 may be preferred 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?

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.

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. It requires knowledge of securities laws and often involves working in a structured environment with regular hours. The organization provides benefits and career advancement within the financial industry.
What are popular job titles related to Finra jobs in Kentucky? For Finra jobs in Kentucky, the most frequently searched job titles are:
What job categories do people searching Finra jobs in Kentucky look for? The top searched job categories for Finra jobs in Kentucky are:
What cities in Kentucky are hiring for Finra jobs? Cities in Kentucky with the most Finra job openings:
Finra jobs near you
Infographic showing various Finra job openings in Kentucky as of July 2026, with employment types broken down into 100% Full Time. Highlights an 60% In-person, and 40% Hybrid job distribution, with an average salary of $40,357 per year, or $19.4 per hour.

Retirement Services Representative (FINRA LICENSING REQUIRED)

ADP

Louisville, KY • On-site

Full-time

Retirement

Posted 11 days ago

Job description

Retirement Services Representative (401k)
Position Summary:
The Retirement Services Representative is a licensed Retirement professional responsible for providing exceptional service to the employees of ADP Retirement Service's clients. They are the primary point of contact for employees and proactively drive employee education by raising awareness of the various tools and resources made available to employees for their retirement and financial planning. Educates employees on plan benefits, plan resources, financial wellness, investment company products, and also assist employees with individual account transactions. The Retirement Services Representative must be capable of communicating with employees at all levels within the organizations Retirement Services supports. As the Retirement Services Representative frequently discusses and educates on investment company products and processes financial transactions, they are required to successfully obtain and maintain their series 6 and 63 FINRA securities licenses.
Job Responsibilities:
  • Educates employees on account information, plan benefits, plan resources and tools such as Financial Wellness, Mobile, Retirement Savings Calculator, and Investment Product information enabling employees to make informed financial and investment decisions.
  • Firm understanding and education on mutual funds, rates or return, personal rates or return, market timing restrictions, self-directed brokerage accounts on enrollment calls and
    any investment related calls enabling employees to make informed financial and investment decisions.
  • Educate employees on distribution options available to them when transitioning employers or commencing retirement, and presents the American Century Investments Rollover option to employees of eligible plans. Assist employees with support for incoming rollovers into ADP plans.
  • Drive high levels of employee satisfaction through exceptional call quality interactions, leading to stronger employee satisfaction and client retention.
  • Maintain full working knowledge of desktop tools such as CRM system, Plan Sponsor and Participant website, Simplicity, and workflow system.
  • Proactively troubleshoot and probe to resolve employee issues, again requiring full working knowledge of the recordkeeping platform and business processes that support it.
  • Adhere to daily schedule and support high call volumes of inbound calls. Flexibility to maintain increase of daily phone time during peak times (which can be unplanned and impacted by market fluctuations).
  • Educate employees on distribution options available to them when transitioning employers or commencing retirement rollover option to employees of eligible plans. Assist employees with support for incoming rollovers into ADP plans.
  • Participate in task forces, strategic initiatives, stretch assignments and collaboration opportunities with other business units as needed.

Job Requirements:
  • FINRA Series 6 and 63 securities licenses and Securities Industry Essentials (can be obtained after being hired into the role)
  • 1+ year of Client Service/Customer Service or Finance/Banking experience
  • Strong and proven communication skills
  • You must be available to work an 8 hour shift between the hours of 8am - 9pm EST

A college degree is great but not required. What is more important is having the skills to do the job. Other acceptable experiences could include:
• Experience noted above, OR
• Military Experience. We recognize and appreciate the unique talents and experiences Veterans bring to the table. We value the discipline, commitment, and problem-solving abilities you developed and are excited to provide an environment where you can continue to make a meaningful impact.
Preferred Qualifications: Preference will be given to candidates who have the following:
  • Bachelor's degree preferred, or equivalent of experience and education
  • FINRA Series 6 and 63 securities licenses and Securities Industry Essentials
  • This is a non-exempt/hourly position, willingness to work overtime and varied day-time shifts will be necessary.
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About ADP

Sourced by ZipRecruiter

We're designing a better way to work, so you can achieve what you're working for. Consistently named one of the 'Most Admired Companies' by FORTUNE® Magazine, and recognized by DiversityInc® as one of the 'Top 50 Companies for Diversity,' ADP works with more than 740,000 organizations across the globe to help their people work smarter, embrace new challenges, and unleash their talent. "Always Designing for People" means we're creating platforms that will transform how great work gets done, so together we can unlock a world of opportunity.

Industry

Recruiting and staffing services

Company size

10,000+ Employees

Headquarters location

Roseland, NJ, US

Year founded

1949

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