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Finra Jobs in Riverside, CA (NOW HIRING)

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Finra information

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$8

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$49

How much do finra jobs pay per hour?

As of Jun 22, 2026, the average hourly pay for finra in Riverside, CA is $23.31, according to ZipRecruiter salary data. Most workers in this role earn between $17.31 and $24.33 per hour, depending on experience, location, and employer.

What is FINRA certification salary?

The salary for roles requiring FINRA certification, such as financial advisors or broker-dealers, varies based on experience, location, and employer, but typically ranges from $50,000 to $100,000 annually. Entry-level positions may start lower, while experienced professionals with additional licenses can earn higher compensation, often supplemented by bonuses and commissions.

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 skills are needed for FINRA jobs?

FINRA jobs typically require strong analytical skills, attention to detail, and knowledge of financial regulations and compliance. Effective communication, problem-solving abilities, and proficiency with industry-specific tools or software are also important. Relevant certifications, such as FINRA licenses or securities licenses, may be required depending on the role.

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.

What is FINRA and what does it do?

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 is the job of FINRA?

A job related to FINRA involves working for or with the Financial Industry Regulatory Authority, which oversees broker-dealers and securities firms to ensure compliance with industry rules and regulations. Roles may include compliance officers, regulatory analysts, or auditors who review firms' practices and enforce securities laws. These positions often require knowledge of financial regulations, strong analytical skills, and relevant certifications such as Series 7 or Series 24.

What are the key skills and qualifications needed to thrive as a FINRA Compliance Analyst, and why are they important?

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.

Is it hard to get FINRA certified?

Finra certification typically involves passing one or more exams, such as the Series 7 or Series 63, which require studying and understanding financial regulations and products. The difficulty depends on the individual's preparation and background in finance, but thorough study and training can improve success rates.
What are popular job titles related to Finra jobs in Riverside, CA? For Finra jobs in Riverside, CA, the most frequently searched job titles are:
What job categories do people searching Finra jobs in Riverside, CA look for? The top searched job categories for Finra jobs in Riverside, CA are:
What cities near Riverside, CA are hiring for Finra jobs? Cities near Riverside, CA with the most Finra job openings:
Finra jobs near you

Relationship Manager - Mission Viejo, CA

Fidelity Investments

Mission Viejo, CA • On-site

$48K - $91K/yr

Full-time

Medical, Retirement, PTO

Posted 18 hours ago

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 264 frontline employees who took The Breakroom Quiz

14th of 138 rated financial services

Job description

Job Description:
As a Relationship Manager, you will be facilitating relationships with Fidelity's most valuable clients. Through your honesty and integrity, we know you will inspire client dedication and engagement in order to develop long-lasting, positive relationships with Fidelity. You will learn how to nurture a book of business and successfully find opportunities to add value to the relationship. You will see your impact on the business and have rewarding interactions with clients every single day.
The Expertise We're Looking For
  • FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire
  • 1-3 years in financial services with an emphasis in providing an excellent customer experience
  • Planning experience and knowledge of financial markets and products
  • Strong social skills and the ability to deliver highly personalized service to each client
  • Ability to find success in a dynamic, deadline driven, and detailed compliance environment
  • Ability to think creatively and be comfortable making decisions with the support of your team
  • Degree and/or other professional certifications are helpful; if you don't already have a CFP or degree, our Tuition Reimbursement program can help you obtain one

The Purpose of Your Role
The Relationship Manager is a pivotal role within the branch team responsible for fostering client relationships and finding opportunities to deepen the relationship in meaningful ways. You will keep the Financial Consultants organized and ensure the daily work is carried with the client's needs top of mind.
The Skills You Bring
  • You are able to facilitate setting targeted appointments that improve engagement with clients
  • You are client oriented and bring great perspective on financial planning
  • You have a vested interest in being an advocate for your clients
  • You are professional with a polished communication style compatible with high net worth clientele
  • Being coachable, collaborative, and curious are your "go to" attributes

Note: Fidelity will not provide immigration sponsorship for this position.
Our Investments in You
Fidelity's greatest advantage is our people, and we believe it is important to approach life holistically. We offer a competitive total rewards package, including a stable base salary, to recognize associate achievements. And our benefit programs are designed to help you and your family strike the right balance. We offer training in-branch, regionally, nationally, and virtually to help you with all aspects of your business. You will not fail due to a lack of training or onboarding!
The Value You Deliver
  • You are key to the Fidelity relationship strategy
  • Deepening client relationships through long term mentorship
  • Collaborating with the Relationship Manager team company wide
  • Being responsible for the client contact strategy
  • Building long-lasting meaningful relationships with clients

The base salary range for this position is $48,000-91,000 USD per year.
Placement in the range will vary based on job responsibilities and scope, geographic location, candidate's relevant experience, and other factors.
Base salary is only part of the total compensation package. Depending on the position and eligibility requirements, the offer package may also include bonus or other variable compensation.
We offer a wide range of benefits to meet your evolving needs and help you live your best life at work and at home. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career. Note, the application window closes when the position is filled or unposted.
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
Certifications:
Series 07 - FINRA, Series 66 - FINRA
Category:
Relationship Management

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