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Finra Jobs in Raleigh, NC (NOW HIRING)

CAPTRUST

Senior Compliance Analyst

Raleigh, NC · On-site

Support FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; support the licensing ...

Empower

Retirement Plan Counselor

Raleigh, NC · On-site +1

$59K - $84K/yr

FINRA fingerprinting required What will set you apart * Working knowledge of Salesforce preferred * Ability to calculate figures such as interest, proportions, percentages, and fractions required

CAPTRUST

Senior Compliance Analyst

Raleigh, NC · On-site

Support FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; support the licensing ...

CAPTRUST

Senior Compliance Analyst

Raleigh, NC · On-site

$90 - $130/hr

Support FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; support the licensing ...

AVE Staffing

Employment Law Partner

Raleigh, NC

$200K - $300K/yr

Oversee administrative proceedings and employment litigation before the EEOC, DOL, OSHA, state/federal courts, and FINRA arbitrations. * Practice Expansion: Leverage a supportive cross-referral ...

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All JobsFinra JobsFinra Jobs in Raleigh, NC

Finra information

See Raleigh, NC salary details

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$42

How much do finra jobs pay per hour?

As of Sep 5, 2026, the average hourly pay for finra in Raleigh, NC is $19.72, according to ZipRecruiter salary data. Most workers in this role earn between $14.66 and $20.58 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 Raleigh, NC?

For Finra jobs in Raleigh, NC, the most frequently searched job titles are:

What job categories do people searching Finra jobs in Raleigh, NC look for?

The top searched job categories for Finra jobs in Raleigh, NC are:

What cities near Raleigh, NC are hiring for Finra jobs?

Cities near Raleigh, NC with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Raleigh, NC as of August 2026, with employment types broken down into 91% Full Time, 8% Part Time, and 1% Contract. Highlights an 76% Physical, 10% Hybrid, and 14% Remote job distribution, with an average salary of $45,166 per year, or $21.7 per hour.

Registered Representative - State Farm Agent Team Member

Matt Davis - State Farm Agent

Garner, NC • On-site

$60K - $120K/yr

Full-time

Medical, Life, Retirement, PTO

Re-posted 5 days ago

Job description

Benefits:
  • Life insurance
  • WFH options
  • Opportunity for advancement
  • Paid time off
  • Training & development
  • 401(k)
  • Bonus based on performance
  • Competitive salary
  • Flexible schedule

Position Overview:
Are you an experienced financial services and insurance professional who thrives on building strong customer relationships and guiding clients toward a secure financial future? Our State Farm agency is seeking a customer-focused individual who can confidently consult on financial planning, life and health insurance, and long-term protection strategies.
This role is ideal for someone who enjoys meaningful conversations with customers, has strong analytical skills, and can identify the right mix of products to meet their needs.
Key Responsibilities:
  • Consult customers on financial planning, investment options, and life/health insurance coverage
  • Assist customers with portfolio management, asset allocation, and risk management strategies
  • Conduct financial reviews and recommend personalized product solutions
  • Maintain compliance with financial and insurance regulations
  • Perform customer needs analysis and engage in sales conversations
Preferred Qualifications:
  • Active Life & Health license
  • FINRA Series 6/63/65 or 7 license
  • Previous experience in financial services and/or insurance
  • Strong communication and analytical skills
  • Professional, trustworthy, and customer-focused demeanor
If you’re ready to combine your expertise in financial services with the opportunity to lead, mentor, and make a lasting impact on customers’ lives, we’d love to hear from you.