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Finra Jobs in Chicago, IL (NOW HIRING)

Wells Fargo

Registered Client Associate

Chicago, IL · 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 ...

tastytrade

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA ...

tastylive

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA ...

tastytrade, Inc.

Senior Surveillance Analyst

Chicago, IL · On-site

$110 - $180/hr

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA ...

tastylive

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA ...

tastytrade

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA ...

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All JobsFinra JobsFinra Jobs in Chicago, IL

Finra information

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How much do finra jobs pay per hour?

As of Sep 4, 2026, the average hourly pay for finra in Chicago, IL is $22.27, according to ZipRecruiter salary data. Most workers in this role earn between $16.54 and $23.22 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 Chicago, IL?

For Finra jobs in Chicago, IL, the most frequently searched job titles are:

What job categories do people searching Finra jobs in Chicago, IL look for?

The top searched job categories for Finra jobs in Chicago, IL are:

What cities near Chicago, IL are hiring for Finra jobs?

Cities near Chicago, IL with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Chicago, IL as of August 2026, with employment types broken down into 92% Full Time, 7% Part Time, and 1% Contract. Highlights an 82% Physical, 6% Hybrid, and 12% Remote job distribution, with an average salary of $46,317 per year, or $22.3 per hour.

Open Accounts Associate II-Intermediaries

Interactive Brokers

Chicago, IL • On-site

$70K - $90K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 9 days ago

Job description

Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
About your Team:
Introducing Broker (iBroker) Master Account Specialists are responsible for the processing and onboarding of Introducing Broker clients. This role requires a strong knowledge of company KYC requirements, a strong business acumen, and the ability to communicate professionally and effectively with large, Sales Representatives/institutional clients. iBroker specialists act as the first line of defense towards external risk for the company.
This is Hybrid role (4 days in office /1 day remote)
What will be your responsibilities within IBKR:
  • Review and assess application documents provided by clients for KYC sufficiency
  • Collect documentation for compilation of the FINRA packet submission and review for accuracy
  • Assess a client's application in a holistic manner to identify potential risk factors, including preliminary Google and negative news searches
  • Proactively work with members of the New Accounts, Compliance, Sales or other departments to streamline the application process and minimize onboarding time
  • Identify areas for improvement in current onboarding processes and proactively propose solutions
  • Guide the application through the approval process which includes Compliance, CAC, Legal and FINRA
  • Liaise between FINRA and IB on applying iBroker accounts to satisfy any questions that are raised during FINRA's review of the applicant
  • Monitor the NA iBroker inbox and act when required
  • Submitting applicant packets into the FINRA gateway and cross-referencing the FINRA filing ID while clearing the FINRA task in CAST
  • Maintaining open and closed account movement in the FINRA gateway
  • Collect weekly progress reports from other iBroker teams and compile into one report for senior management
  • Cross reference multiple databases ensuring that regulatory aspects of AML and KYC are completed prior account opening, if an EDD review is not triggered

What required skill's you need:
  • 1-3 years experience
  • Bachelor Degree in finance, accounting, or economics
  • Understanding of BSA/AML, USA PATRIOT Act and OFAC principles
  • High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
  • ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
  • Knowledge/Experience in Capital Markets, AML, KYC or Compliance
  • Knowledge/Understanding of end-to-end KYC process is a plus

To be successful in this position, you will have the following:
  • Self-motivated and able to handle tasks with minimal supervision.
  • Superb analytical and problem-solving skills.
  • Excellent collaboration and communication (Verbal and written) skills.
  • Outstanding organizational and time management skills.

Company Benefits & Perks
  • Competitive salary, annual performance-based bonus and stock grant
  • Retirement plan 401(k) with competitive company match
  • Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
  • Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
  • Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
  • Corporate events including team outings, dinners, volunteer activities and company sports teams
  • Education reimbursement and learning opportunities

Apply