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Finra Jobs in Fairfield, CT (NOW HIRING)

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker ...

Compliance Exchange Group

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker ...

Alliance Global Partners

Be Seen First

Associate Financial Advisor

Stamford, CT · On-site

$60K - $100K/yr (+ commission)

... FINRA-licensed and trainees looking to join and work in our Westport Connecticut office. (trainee positions available as well.) We will sponsor for all FINRA licenses Primary responsibilities for ...

T3 Trading Group LLC

Equity Trader Position

Wilton, CT · On-site

T3 Trading Group, LLC ( www.t3trading.com ) is a Registered SEC Broker-Dealer & Member of FINRA/SIPC. We are recruiting hardworking, entrepreneurial entry level-traders for remote positions in our ...

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All JobsFinra JobsFinra Jobs in Fairfield, CT

Finra information

See Fairfield, CT salary details

$8

$22

$48

How much do finra jobs pay per hour?

As of Sep 1, 2026, the average hourly pay for finra in Fairfield, CT is $22.78, according to ZipRecruiter salary data. Most workers in this role earn between $16.92 and $23.80 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 job categories do people searching Finra jobs in Fairfield, CT look for?

The top searched job categories for Finra jobs in Fairfield, CT are:

What cities near Fairfield, CT are hiring for Finra jobs?

Cities near Fairfield, CT with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Fairfield, CT as of August 2026, with employment types broken down into 85% Full Time, and 15% Part Time. Highlights an 72% Physical, 12% Hybrid, and 16% Remote job distribution, with an average salary of $47,378 per year, or $22.8 per hour.

Broker-Dealer CEO

CXG Holdings Inc

Smithtown, NY • On-site

Full-time

Dental, Vision, Retirement, PTO

Re-posted 28 days ago

Job description

Benefits:
  • Bonus based on performance
  • Competitive salary
  • Flexible schedule
  • Opportunity for advancement
  • Paid time off
  • Training & development
  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Parental leave
  • Vision insurance

 Broker-Dealer CEO

Location: Smithtown, NY (In-Person)
Employment Type: Full-Time
Compensation: $150,000 – $175,000 Base Salary + Performance Bonus + Long-Term Growth Opportunity
About Compliance Exchange Group

Compliance Exchange Group (CXG) is one of the nation's leading broker-dealer consulting, executive leadership, and compliance firms. For more than a decade, we have helped broker-dealers launch, operate, and grow through executive leadership, regulatory expertise, compliance management, and operational support.
Having successfully completed hundreds of broker-dealer registrations with a 100% FINRA and SEC approval rate, CXG has earned a reputation as one of the industry's most trusted partners for broker-dealer formation, executive management, and regulatory success.
As our firm continues to expand, we are seeking an experienced broker-dealer executive to join our leadership team at our Smithtown, New York headquarters.
Position Overview

The Managing Director will play a key leadership role within CXG and the broker-dealer organizations we support.
The successful candidate will provide executive oversight, regulatory guidance, operational leadership, and strategic direction while working closely with senior management, regulators, attorneys, and industry professionals.
This is a long-term leadership opportunity for an individual who enjoys building organizations, solving complex regulatory and operational challenges, and making a meaningful impact on the growth and success of financial services firms.
Responsibilities

Executive Leadership

  • Provide executive leadership and strategic direction for broker-dealer operations.
  • Participate in business planning, growth initiatives, and organizational development.
  • Serve in senior executive capacities, including CEO and/or Chief Compliance Officer functions where appropriate.
  • Advise firm owners and executive management on operational, regulatory, and strategic matters.
  • Participate in executive meetings, board meetings, and strategic planning sessions.
Regulatory & Compliance Oversight

  • Maintain direct interaction with FINRA, SEC, state regulators, auditors, and legal counsel.
  • Participate in regulatory examinations, inquiries, and audits.
  • Oversee supervisory systems, compliance programs, and risk management initiatives.
  • Ensure adherence to applicable FINRA, SEC, and state regulatory requirements.
  • Assist with regulatory filings, business changes, and strategic growth initiatives.
Operational Management

  • Supervise registered principals, compliance professionals, operations personnel, and support staff.
  • Review and approve operational changes, new business activities, and strategic initiatives.
  • Help improve operational efficiency and regulatory readiness.
  • Collaborate with internal teams to support organizational and client success.
Business Development & Relationship Management

  • Build and maintain strong relationships with clients, regulators, attorneys, and industry professionals.
  • Represent the firm at industry events, conferences, and networking opportunities.
  • Identify opportunities to strengthen client relationships and support firm growth.
  • Contribute to business development initiatives and strategic expansion efforts.
Qualifications

Required

  • Active FINRA Series 24 License.
  • Active FINRA Series 7 License.
  • 7+ years of broker-dealer industry experience.
  • 3+ years in a leadership role, including CEO, President, COO, CCO, Managing Director, or equivalent executive position.
  • Strong knowledge of FINRA, SEC, AML, and broker-dealer regulations.
  • Experience interacting directly with regulators and managing examinations.
  • Strong leadership, communication, and organizational skills.
  • Ability to work full-time from our Smithtown, New York office.
Preferred

  • MBA or advanced business degree.
  • Previous broker-dealer CEO experience.
  • Previous Chief Compliance Officer experience.
  • Experience with startup broker-dealers.
  • Experience with FINRA Rule 1017 filings and material business changes.
  • Additional FINRA licenses including Series 4, 27, 53, or 79.
  • RIA experience.
  • Experience with mergers, acquisitions, or strategic transactions.
What We Offer

  • Competitive compensation package.
  • Performance-based bonus opportunities.
  • Long-term career growth within an expanding organization.
  • Meaningful executive leadership responsibilities.
  • Direct exposure to broker-dealer owners, regulators, and industry leaders.
  • Opportunity to build a high-impact career while remaining on Long Island.
  • Collaborative, entrepreneurial, and growth-oriented culture.
  • Opportunity to work alongside some of the most experienced broker-dealer professionals in the industry.
If you are an experienced broker-dealer professional seeking a leadership role with significant responsibility, growth potential, and long-term opportunity, we encourage you to apply.