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Finra Jobs in Madison, WI (NOW HIRING)

UW Credit Union

Financial Consultant I

Madison, WI · On-site

$70K/mo

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

FINRA Series 7 and 66 (63/65) required * Life and Health Insurance License * CFP or other professional designation(s) preferred or progress toward or interest in perusing required * Bachelor's degree ...

UW Credit Union

Financial Consultant I

Madison, WI

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

FINRA Series 7 and 66 (63/65) required * Life and Health Insurance License * CFP or other professional designation(s) preferred or progress toward or interest in perusing required * Bachelor's degree ...

Varsity Tutors

SIE Tutor

Madison, WI · Remote

$18 - $40/hr

Ability to explain equity and debt securities, mutual funds, variable annuities, options basics, and SEC and FINRA regulations while preparing candidates for the Securities Industry Essentials ...

Varsity Tutors

Series 16 Tutor

Madison, WI · Remote

$18 - $40/hr

Ability to explain SEC research disclosure requirements, FINRA research rules, and analytical report standards while preparing analysts for research supervisory qualification. * Strategic Test-Taking ...

LPL Financial

Wealth Advisor - Starion Bank

Madison, WI · On-site

Must maintain Licenses and FINRA registrations: Active State Applicable Life Insurance License, Active Series 7 Registration, Active Series 63 Registration (if required by the state of hire), Active ...

Northwestern Mutual

Financial Advisor

Middleton, WI

$137K - $250K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI. *Individuals are ...

Northwestern Mutual

Financial Advisor

Middleton, WI · On-site

$61K - $250K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company ® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.

Northwestern Mutual

Financial Advisor

Middleton, WI · On-site

$137K - $250K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI. *Individuals are ...

Northwestern Mutual

Financial Advisor

Middleton, WI

$137K - $250K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI. *Individuals are ...

Northwestern Mutual

Financial Advisor

Middleton, WI · On-site

$137K - $250K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

... FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI. *Individuals are ...

Thrivent

Financial Advisor

Janesville, WI

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

Attainment of FINRA SIE, life and health licenses (licensed role only) before contracting. * Satisfactory background check, fingerprinting and securities registration and/or insurance licensing ...

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Finra information

See Madison, WI salary details

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How much do finra jobs pay per hour?

As of Aug 19, 2026, the average hourly pay for finra in Madison, WI is $22.51, according to ZipRecruiter salary data. Most workers in this role earn between $16.73 and $23.51 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 Madison, WI?

For Finra jobs in Madison, WI, the most frequently searched job titles are:

What job categories do people searching Finra jobs in Madison, WI look for?

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

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

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

Finra jobs near you
Infographic showing various Finra job openings in Madison, WI as of August 2026, with employment types broken down into 89% Full Time, 9% Part Time, and 2% Contract. Highlights an 76% Physical, 10% Hybrid, and 14% Remote job distribution, with an average salary of $46,821 per year, or $22.5 per hour.

Personal Financial Planner

Lakeshore Financial Group

Madison, WI

$100K/yr

Full-time

Re-posted 21 days ago

Job description

Do you have great listening skills and a knack for developing effective, analytics-based strategies? We are seeking a money-minded individual who is looking for an opportunity to break into the financial services industry! Our successful entry-level financial advisor candidate has a passion for developing long-term relationships and an interest in financial data, estate planning, business administration, mutual funds, and more. If you have great communication skills and an eye for detail, apply today!Compensation:

$75,000 - $100,000 at plan earnings


Responsibilities:
  • Gather and assess each client’s financial information to accurately determine factors including financial status, cash flow, monetary expectations, financial goals, retirement plans, and additional factors related to wealth management
  • Consider clients’ life stage, professional circumstances, and changing financial needs when developing tailored financial plans to suit their needs
  • Be a coachable, organized team member interested in pursuing training development and educational opportunities
  • Seek, identify, and secure strong relationships with new clients by serving as their trusted financial advisor
  • Make strategic product, plan, and investment recommendations and financial advice to help clients reach their monetary goals

Qualifications:
  • Up-to-date FINRA Series 7 & 63/66 documents are a bonus
  • Basic understanding of the role of a financial advisor or financial consultant, as well interest in the financial industry and financial products is necessary
  • Stellar communication and math skills complemented by a proven track record of building strong client relationships with existing and prospective customers
  • Basic knowledge of computer programs including Microsoft Office, financial planning software, Google Suite, CRM systems, and related programs is needed
  • A Bachelor’s degree in finance, business administration, or alternate related analytical field is required

About Company

At Lakeshore Financial, our Financial Representatives and Advisors take pride in nurturing strong and meaningful connections with a diverse range of individuals. Our services are designed to cater to specific needs, offering comprehensive financial strategies or focusing on particular areas that require attention.

What sets us apart is our commitment to providing a unique and all-encompassing approach to evaluating and developing financial wellness strategies tailored to each individual's circumstances. We genuinely care about clients' well-being and want them to experience our dedicated and holistic method.

To ensure the highest quality of guidance, our team follows a comprehensive process. By leveraging this approach, we strive to deliver exceptional results and empower clients to achieve their financial goals with confidence.