ZipRecruiter

Log In

1

Finra Jobs in Boca Raton, FL (NOW HIRING)

Wells Fargo

Registered Client Associate

Palm Beach, FL · On-site

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired ...

previous pagenext page

Showing results 21-40

All JobsFinra JobsFinra Jobs in Boca Raton, FL

Finra information

See Boca Raton, FL salary details

$7

$21

$45

How much do finra jobs pay per hour?

As of Sep 6, 2026, the average hourly pay for finra in Boca Raton, FL is $21.20, according to ZipRecruiter salary data. Most workers in this role earn between $15.72 and $22.12 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 are popular job titles related to Finra jobs in Boca Raton, FL?

For Finra jobs in Boca Raton, FL, the most frequently searched job titles are:

What job categories do people searching Finra jobs in Boca Raton, FL look for?

The top searched job categories for Finra jobs in Boca Raton, FL are:

What cities near Boca Raton, FL are hiring for Finra jobs?

Cities near Boca Raton, FL with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Boca Raton, FL as of August 2026, with employment types broken down into 100% Full Time. Highlights an 75% In-person, and 25% Hybrid job distribution, with an average salary of $44,095 per year, or $21.2 per hour.

Compliance Officer

Phyton Talent Advisors

Boca Raton, FL • On-site

Other

Posted 24 days ago

Key responsibilities

  • Support the firm's broker-dealer compliance and supervisory program, including maintaining and implementing Written Supervisory Procedures (WSPs).

  • Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.

  • Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.

Job description

We are seeking an experienced Compliance Officer to support the firm's broker-dealer compliance program. This individual will work closely with senior Compliance leadership and business partners to ensure adherence to FINRA, SEC, and other applicable regulatory requirements.
Responsibilities:
  • Support the firm's overall broker-dealer compliance and supervisory program, including maintenance and implementation of Written Supervisory Procedures (WSPs).
  • Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.
  • Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.
  • Review and monitor employee activities, including outside business activities, personal securities accounts, and other required disclosures.
  • Support trade surveillance and review for potential regulatory or compliance issues.
  • Assist with AML and financial crime compliance, including KYC/CIP, transaction monitoring, suspicious activity reviews, escalations, and sanctions-related matters.
  • Identify compliance risks and work with business and operations teams to strengthen controls and remediate issues.
  • Assist with compliance testing, annual reviews, training, recordkeeping, and regulatory reporting.
  • Stay current on changes to FINRA and SEC rules and assess their impact on the firm.
Qualifications:
  • 5+ years of broker-dealer compliance experience.
  • Active Series 7 and Series 24 licenses required.
  • Working knowledge of FINRA and SEC broker-dealer regulations.
  • Experience with AML/KYC and financial crime compliance.
  • Knowledge of brokerage operations, trading, clearing, and/or custody preferred.
  • Experience working with regulators and supporting regulatory examinations preferred.
  • Strong analytical, communication, and problem-solving skills.
  • Ability to work in a hands-on environment and manage multiple compliance responsibilities.
We are seeking an experienced Compliance Officer to support the firm's broker-dealer compliance program. This individual will work closely with senior Compliance leadership and business partners to ensure adherence to FINRA, SEC, and other applicable regulatory requirements.
Responsibilities:
  • Support the firm's overall broker-dealer compliance and supervisory program, including maintenance and implementation of Written Supervisory Procedures (WSPs).
  • Conduct supervisory reviews and monitoring of brokerage activities, trading, customer accounts, and registered personnel.
  • Assist with regulatory filings, examinations, inquiries, and requests from FINRA, SEC, and other regulators.
  • Review and monitor employee activities, including outside business activities, personal securities accounts, and other required disclosures.
  • Support trade surveillance and review for potential regulatory or compliance issues.
  • Assist with AML and financial crime compliance, including KYC/CIP, transaction monitoring, suspicious activity reviews, escalations, and sanctions-related matters.
  • Identify compliance risks and work with business and operations teams to strengthen controls and remediate issues.
  • Assist with compliance testing, annual reviews, training, recordkeeping, and regulatory reporting.
  • Stay current on changes to FINRA and SEC rules and assess their impact on the firm.
Qualifications:
  • 5+ years of broker-dealer compliance experience.
  • Active Series 7 and Series 24 licenses required.
  • Working knowledge of FINRA and SEC broker-dealer regulations.
  • Experience with AML/KYC and financial crime compliance.
  • Knowledge of brokerage operations, trading, clearing, and/or custody preferred.
  • Experience working with regulators and supporting regulatory examinations preferred.
  • Strong analytical, communication, and problem-solving skills.
  • Ability to work in a hands-on environment and manage multiple compliance responsibilities.

Apply