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Finra Jobs in Rhode Island (NOW HIRING)

Charles IT

Compliance Administrator

Providence, RI · On-site

Conduct framework assessments (CCPA, CMMC, FINRA, HIPAA, NIST CSF 2.0, NYDFS, SOC 2, etc.) * Identify compliance gaps, advise on remediation, and drive remediation efforts to completion * Manage ...

Charles IT

Compliance Administrator

Providence, RI

Conduct framework assessments (CCPA, CMMC, FINRA, HIPAA, NIST CSF 2.0, NYDFS, SOC 2, etc.) * Identify compliance gaps, advise on remediation, and drive remediation efforts to completion * Manage ...

Varsity Tutors

SIE Tutor

Providence, RI · Remote

$18 - $40/hr

Ability to explain equity and debt securities, mutual funds, variable annuities, options basics, and SEC and FINRA regulations while preparing candidates for the Securities Industry Essentials ...

Varsity Tutors

Series 16 Tutor

Providence, RI · 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 ...

Mutual of America

Retirement Plan Specialist

Providence, RI · On-site +1

$65K - $85K/yr

Active FINRA Series 6, 63, and SIE or must be obtained within the first 180 days of employment * Valid driver's license Preferred Qualifications: * Bachelor's degree * Demonstrated cold calling sales ...

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See Rhode Island salary details

$7

$21

$46

How much do finra jobs pay per hour?

As of Aug 14, 2026, the average hourly pay for finra in Rhode Island is $21.88, according to ZipRecruiter salary data. Most workers in this role earn between $16.25 and $22.84 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 Rhode Island?

For Finra jobs in Rhode Island, the most frequently searched job titles are:

What job categories do people searching Finra jobs in Rhode Island look for?

The top searched job categories for Finra jobs in Rhode Island are:

What cities in Rhode Island are hiring for Finra jobs?

Cities in Rhode Island with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Rhode Island as of August 2026, with employment types broken down into 89% Full Time, and 11% Part Time. Highlights an 73% Physical, 12% Hybrid, and 15% Remote job distribution, with an average salary of $45,505 per year, or $21.9 per hour.

Senior Manager, Compliance Operations

Fidelity Investments

Smithfield, RI • On-site

Full-time

Re-posted 9 days ago

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 271 frontline employees who took The Breakroom Quiz

15th of 150 rated financial services

Job description


Note: Fidelity will not provide immigration sponsorship for this position.
The Role
The Senior Manager, Compliance Operations oversees the escheatment operations team for Fidelity Digital Assets, FILI, eFILI, HR Services, Accounts Payable, Charitable, Green Pier, Workplace Investing, Fidelity Institutional Asset Management and Fidelity Management Trust Company. This role is also responsible for onboarding and implementing new lines of business, including developing policies, procedures, and controls. The role involves leading technological initiatives, responding to inquiries from internal and external stakeholders, supporting process improvements, and strengthening controls. The Senior Manager ensures that all team responsibilities and deliverables are completed accurately and on time.
Responsibilities Include:
  • Manage workflow of state requests and assignment of state requests to analysts.
  • Hire, lead, mentor, and develop a team of associates, fostering a high performance and continuous improvement in culture.
  • Coordinate annual escheatment with internal and external business partners, which includes managing to strict timelines and problem-solving.
  • Ensure on-going compliance with SEC and state required due diligence mailings. Integrate state changes to mailing parameters, re-write customer correspondence as required, and obtain business partner consensus and eReview approvals.
  • Lead project work, defining system requirements, drafting project documentation, and validating UAT results.
  • Responsible for records management and policy and procedure documentation.
  • Resource to other members of the department providing direction and technical expertise as needed.

The Expertise and Skills You Bring
  • BA/BS degree required.
  • Experience: 5 to 8 years of experience in one or more of the following areas: Escheatment, brokerage operations, Risk and Compliance.
  • Some knowledge of state escheatment rules is a plus.
  • 5 plus years in business analysis and or project management in financial services.
  • Excellent interpersonal, communication and time management skills.
  • Working knowledge of Fidelity systems including FBSI, XTRAC, TrackerPro is a plus.
  • Strong collaboration skills and ability to influence cross-functional partners.
  • Process oriented mindset with a focus on automation, efficiency, and error reduction.
  • Strong program management, prioritization, and attention to detail.
  • Ability to clearly communicate technical concepts to non-technical stakeholders.
  • Comfortable working in fast paced environments.
  • Strong regulatory and control mindset.

Fidelity's Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
Investment Operations
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

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