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Finra Jobs in Jackson, WI (NOW HIRING)

U.S. Bank

Wealth Management Advisor

Oconomowoc, WI · On-site

$65K - $80K/yr

Basic Qualifications - Bachelor's degree, or equivalent work experience - Three to five years of experience in a financial sales position, preferably working with the affluent client segment - FINRA ...

US Bank

Wealth Management Advisor

Delafield, WI · On-site

$65K - $80K/yr

Basic Qualifications - Bachelor's degree, or equivalent work experience - Three to five years of experience in a financial sales position, preferably working with the affluent client segment - FINRA ...

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How much do finra jobs pay per hour?

As of Aug 20, 2026, the average hourly pay for finra in Jackson, WI is $21.51, according to ZipRecruiter salary data. Most workers in this role earn between $15.96 and $22.45 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 Jackson, WI look for?

The top searched job categories for Finra jobs in Jackson, WI are:

What cities near Jackson, WI are hiring for Finra jobs?

Cities near Jackson, WI with the most Finra job openings:

Finra jobs near you

JR-45344 Wealth Operations Sr Specialist (Hybrid)

Northwestern Mutual Life Insurance Company

Milwaukee, WI • On-site

$105K/yr

Full-time

Re-posted 4 hours ago

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 75 frontline employees who took The Breakroom Quiz

166th of 310 rated insurance

Job description

PRINCIPAL ACCOUNTABILITIES:
  • Responsible for the day to day technical support of the FPS Investment Account Opening operations team to ensure quality and timely outputs are delivered to subscribers, as the services evolve with technology and product enhancements. Positively influences and leads changes with individual FPAs and the team.
  • Develops and provides technical training to Investment Client Onboarding and other FPS teams, including Service Development and User Support, to improve the overall service and experience that FPS delivers to the field. Identifies gaps in learning/training and recommends plans of action.
  • Uses investment account opening or operations expertise, critical thinking and judgment to resolve difficult plan requests, issues, complaints or errors related to FPS standards or procedures. This includes analyzing discrepancies related to plans, initiating corrective action, and providing counsel and information to subscribers and home office cross-functional teams. Evaluates and grants flexibility to established practices and procedures when appropriate.
  • Mentors less experienced staff, providing answers to questions, advice, feedback and support. Provides performance feedback to the manager.
  • Assists in design of and executes quality assurance plans necessary to ensure quality outputs are delivered to FPS subscribers
  • Identifies, develops and implements process, system and workflow improvements and ensures team alignment.
  • Ability to assist in both team and cross-functional team projects and process improvements.
  • Acts as backup and/or escalation for subscriber support calls when necessary.
  • Viewed as an expert on FPS procedures and standards and FPA use of various technologies.

REQUIREMENTS:
  • Bachelor's degree or an equivalent combination of education and progressively responsible work experience
  • Minimum of two years of professional level experience, preferably related to investment account opening or operations and related technologies.
  • Demonstrated ability to understand FPS processes and standards and marry it with general planning knowledge to drive quality results.
  • Demonstrated leadership and mentoring/coaching skills and the ability to develop and train/up-skill team members.
  • Experience with implementing process improvements, process introduction and system enhancements in support of technology changes.
  • Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and meet deadlines on multiple assignments with high quality results.
  • Effective written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with individuals in the department and the field to maintain maximum operational efficiency
  • Series 7 required.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 7 - FINRA, SIE - FINRA
Compensation Range:
Pay Range - Start:
$70,320.00
Pay Range - End:
$105,480.00
Geographic Specific Pay Structure:
Structure 110:
Structure 115:
We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

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About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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