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Finra Jobs in Appleton, WI (NOW HIRING)

Associated Bank - Corp

Financial Advisor

Oshkosh, WI · On-site

This position requires a check of criminal background and credit records as a FINRA registered position. Must have access to reliable transportation and the ability to lawfully drive self, if ...

Associatedbank

Financial Advisor

Oshkosh, WI

This position requires a check of criminal background and credit records as a FINRA registered position. Must have access to reliable transportation and the ability to lawfully drive self, if ...

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All JobsFinra JobsFinra Jobs in Appleton, WI

Finra information

See Appleton, WI salary details

$7

$21

$46

How much do finra jobs pay per hour?

As of Jul 28, 2026, the average hourly pay for finra in Appleton, WI is $21.80, according to ZipRecruiter salary data. Most workers in this role earn between $16.20 and $22.74 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 Appleton, WI? For Finra jobs in Appleton, WI, the most frequently searched job titles are:
What job categories do people searching Finra jobs in Appleton, WI look for? The top searched job categories for Finra jobs in Appleton, WI are:
What cities near Appleton, WI are hiring for Finra jobs? Cities near Appleton, WI with the most Finra job openings:
Finra jobs near you
Infographic showing various Finra job openings in Appleton, WI as of July 2026, with employment types broken down into 92% Full Time, and 8% Part Time. Highlights an 84% Physical, 7% Hybrid, and 9% Remote job distribution, with an average salary of $45,338 per year, or $21.8 per hour.
Entry Level - Financial Advisor - WI, Green Bay (2636)

Entry Level - Financial Advisor - WI, Green Bay (2636)

Equitable

Green Bay, WI • On-site, Remote

Other

Medical, Dental, Vision, Life, Retirement

Posted 23 days ago

Equitable rating

8.2

Company rating: 8.2 out of 10

Based on 22 frontline employees who took The Breakroom Quiz

Job description

Equitable Advisors is dedicated to making a positive impact in the lives of its clients. Our network of over 4,300 financial professionals across the U.S. is committed to fostering relationships that help people achieve meaningful financial wellness. In total, Equitable Advisors serves 2.4 million clients nationwide. Our mission is simple: to make a difference in the lives of others. If you are passionate about helping individuals and families reach their financial goals, Equitable Advisors offers a structured path to becoming a wealth manager through licensing and employment.

Role Highlights

  • Client Engagement: Build and nurture client relationships through networking events and portfolio management, ensure consistent communication and progress tracking
  • Financial Strategy Development: Understand clients' financial objectives and risk tolerance to devise personalized strategies, offering clear recommendations and guidance
  • Product and Service Consultation: Discuss financial products and services tailored to clients' unique situations
  • Location: In-office presence required
  • Work-Life Balance:  Flexible schedule to maximize productivity and personal time

Skills & Experience

  • Education: Bachelor's degree or equivalent skills and work experience
  • Licensing: State Life & Health, SIE, Series 7, Series 66
  • Personal Attributes: values-driven with a track record of success and accomplishment
  • Communication Skills: excellent interpersonal and communication abilities with strong self-confidence
  • Mindset: entrepreneurial spirit with a desire to positively impact others' lives
  • Collaboration: ability to work with and learn from top performers
  • Work Authorization: must be authorized to work in the United States

Training & Development

  • FINRA Sponsorship: provided for required FINRA licensing
  • Preliminary Employment Period (PEP): comprehensive 120-day hands-on training
  • Virtual University: access to Equitable Advisors' Virtual University for continuous learning
  • Mentorship: opportunities for joint work and mentorship
  • Personalized Coaching: Benefit from the training and guidance of a local Vice President who will assist you throughout your journey, offering valuable insights and support to help you succeed
  • Leadership Development: access to Leadership Development School for those with management ambition
  • Professional Growth: encouragement to pursue professional designations such as CERTIFIED FINANCIAL PLANNER™ (CFP®), Chartered Financial Consultant (ChFC) and Equitable Advisors’ own Credentialed Holistic Financial Coach program

Compensation & Benefits

  • Sign-On Payment: Based on the time it takes you to complete the company sponsored required FINRA licenses and registrations and enter PEP
  • Stable Pay: Biweekly pay for eligible financial professionals, empowering you to establish your career in wealth management
  • Commissions and Bonus: In addition to Stable Pay, financial professionals are eligible to earn commissions and bonus.
  • Benefits: Comprehensive benefits programs for eligible financial professionals including health, dental and vision, 401(k); Employee Stock Purchase Plan (ESPP); disability; life Insurance; and Transportation Reimbursement Incentive Program (TRIP), each subject to the terms and conditions of the applicable program, as may be in effect from time to time.

Our Impact & Culture

Equitable Advisors is committed to making a difference in the lives of its people and their communities. We value diversity and inclusivity, offer wellness programs and employee resource groups. Our commitment to being a Force for Good is reflected in programs like "1,000 Hours of Giving Back," sponsored by our Women’s Network, and “Equitable Excellence,” which awards 200 college scholarships annually. Join us to be part of a workplace culture dedicated to social impact and community engagement.

Equitable Advisors, LLC, member FINRA, SIPC, (Equitable Financial Advisors in MI and TN) and affiliate, Equitable Network, LLC, (Equitable Network Insurance Agency of California, LLC; Equitable Network Insurance Agency of Utah, LLC; Equitable Network of Puerto Rico, Inc.) Equitable Advisors, LLC (Equitable Financial Advisors in MI & TN) is an equal opportunity employer.  M/F/D/V. GE-7814315.1(4/25)(Exp.4/29)

What Equitable employees say

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Benefits

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About Equitable

Sourced by ZipRecruiter

At Equitable, we're a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently - where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

New York, NY, US

Year founded

1859

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