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Finra Jobs in Riverside, CA (NOW HIRING)

Empower

Retirement Plan Advisor- Orange County

Orange, CA · On-site

$79K - $112K/yr

FINRA Series 6, 63, 65 registrations required within established timeline; current FINRA registrations strongly preferred * FINRA fingerprinting required upon hire What will set you apart * Working ...

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How much do finra jobs pay per hour?

As of Jul 12, 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 a FINRA job?

A FINRA job involves working for the Financial Industry Regulatory Authority, which oversees broker-dealers and securities firms. Roles may include compliance, regulatory enforcement, or administrative positions, often requiring knowledge of financial regulations and relevant certifications. Employees ensure firms adhere to industry rules and protect market integrity.

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 necessary 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 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.

What is the typical FINRA salary?

FINRA employees' salaries vary depending on the role, experience, and location, but the average salary for a FINRA staff member ranges from approximately $60,000 to $120,000 annually. Entry-level positions such as examiners or analysts typically start around $50,000 to $70,000, while more experienced roles or senior positions can earn over $100,000. Many roles also include benefits such as health insurance and retirement plans.

Is it hard to get a job at FINRA?

Getting a job at FINRA can be competitive, as it is a regulated organization that seeks candidates with relevant financial, compliance, or regulatory experience. Candidates often need a strong educational background, relevant certifications, and sometimes prior industry experience. The hiring process typically involves multiple interviews and background checks.
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
Infographic showing various Finra job openings in Riverside, CA as of July 2026, with employment types broken down into 91% Full Time, 8% Part Time, and 1% Contract. Highlights an 84% Physical, 6% Hybrid, and 10% Remote job distribution, with an average salary of $48,477 per year, or $23.3 per hour.
Retirement Plan Advisor- Orange County

Retirement Plan Advisor- Orange County

Empower Annuity Insurance Company of America

Orange, CA • On-site, Remote

$79K - $112K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 3 days ago

Empower rating

7.6

Company rating: 7.6 out of 10

Based on 45 frontline employees who took The Breakroom Quiz

109th of 148 rated financial services

Job description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.
Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.
The Retirement Plan Advisor assists individuals in achieving a successful retirement and planning their financial future through group and individual presentations to new and existing defined contribution 401(k)/(a), 403(b), and/or Government 457 plan participants across all plan sizes. This role uses data-driven, analytical thinking to lead impactful conversations with participants, meets client service level agreements and achieves annual targets as assigned. This position will also assist the Relationship Management team in effectively establishing and maintaining relationships with key stakeholders within the territory assigned.
This Retirement Plan Advisor will work with public employees in Orange County. The Retirement Plan Advisor MUST BE BASED IN ORANGE COUNTY and be available to meet with individuals in person.
What you will do
  • Conduct Retirement Readiness Reviews, as well as other individual meetings and group presentations, with targeted participants using consultative expertise to improve retirement outcomes
  • Develop and maintain strategic partnerships with key stakeholders for each location within assigned territory or for assigned employer-sponsored plans
  • Conduct one-on-one virtual and on-site group meeting by using various technologies in a professional manner
  • Manage meeting schedule, including travel booking
  • Create and execute dynamic business plans and tactics to drive positive retirement income objectives for participants
  • Document interactions in Salesforce and collect required information to adhere to guidelines for regulatory compliance
  • Achieve plan level and individual goals to help achieve service level agreements and business results
  • Participate in client meetings, sales finals, or other external meetings as needed
  • Work collaboratively across internal service and management teams to improve effectiveness

What you will bring
  • Bachelor's degree or equivalent work experience in lieu of a degree
  • 3 - 5 years relevant financial services experience
  • Strong presentation skills required
  • Proficiency in MS Word, Excel, PowerPoint, and Teams required
  • Strategic thinker who can work independently required
  • Strong relationship building and territory management skills required
  • FINRA Series 6, 63, 65 registrations required within established timeline; current FINRA registrations strongly preferred
  • FINRA fingerprinting required upon hire

What will set you apart
  • Working knowledge of Salesforce preferred
  • Working knowledge of building blocks for successful retirement planning preferred
  • Basic understanding of defined contribution plans preferred
  • Practical experience providing high-level, consultative client interactions preferred

***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
  • Medical, dental, vision and life insurance
  • Retirement savings - 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
  • Tuition reimbursement up to $5,250/year
  • Business-casual environment that includes the option to wear jeans
  • Generous paid time off upon hire - including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
  • Paid volunteer time - 16 hours per calendar year
  • Leave of absence programs - including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
  • Business Resource Groups (BRGs) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range
$79,400.00 - $112,175.00
The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Equal opportunity employer • Drug-free workplace
We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.***
Job Posting End Date at 12:01 am on:
07-11-2026
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