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Finra Jobs in Rochester, NY (NOW HIRING)

Keybank

Private Client Banker - Perinton

Fairport, NY

$25 - $38.46/hr

FINRA License S63 Upon Hire (required) * FINRA Security Industry Essentials (SIE) Upon Hire (required) * Life and Health Insurance Licenses Upon Hire (required) Skills * Is knowledgeable about the ...

Empower

Retirement Plan Advisor

Rochester, NY · On-site +1

$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 ...

KeyBank

Private Client Banker - Perinton

Fairport, NY · On-site

FINRA License S63 Upon Hire (required) * FINRA Security Industry Essentials (SIE) Upon Hire (required) * Life and Health Insurance Licenses Upon Hire (required) Skills * Is knowledgeable about the ...

Empower Careers

Retirement Plan Advisor

Rochester, NY · On-site +1

$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 ...

New

Empower

Retirement Plan Advisor (ROCHESTER)

Rochester, NY · On-site +1

$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 ...

New

Empower

Retirement Plan Advisor (ROCHESTER)

Rochester, NY · 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 ...

New

Kappan Financial

Be Seen First

Marketing Manager

Rochester, NY · On-site

$55K - $75K/yr

Ensure all marketing materials rigidly adhere to SEC, FINRA, and firm compliance guidelines. * Analyze performance: Track, analyze, and report on key performance metrics (ROI, cost-per-lead ...

New

Kappan Financial

Be Seen First

Marketing Manager

Rochester, NY · On-site

$55K - $75K/yr

Ensure all marketing materials rigidly adhere to SEC, FINRA, and firm compliance guidelines. * Analyze performance: Track, analyze, and report on key performance metrics (ROI, cost-per-lead ...

New

Kappan Financial

Be Seen First

Marketing Manager

Rochester, NY · On-site

$55K - $75K/yr

Ensure all marketing materials rigidly adhere to SEC, FINRA, and firm compliance guidelines. * Analyze performance: Track, analyze, and report on key performance metrics (ROI, cost-per-lead ...

New

Varsity Tutors

Series 7 Tutor

Rochester, NY · Remote

$30 - $40/hr

Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...

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Finra information

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How much do finra jobs pay per hour?

As of Jul 15, 2026, the average hourly pay for finra in Rochester, NY is $22.05, according to ZipRecruiter salary data. Most workers in this role earn between $16.39 and $23.03 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 Rochester, NY? For Finra jobs in Rochester, NY, the most frequently searched job titles are:
What job categories do people searching Finra jobs in Rochester, NY look for? The top searched job categories for Finra jobs in Rochester, NY are:
What cities near Rochester, NY are hiring for Finra jobs? Cities near Rochester, NY with the most Finra job openings:
Finra jobs near you
Infographic showing various Finra job openings in Rochester, NY as of July 2026, with employment types broken down into 90% Full Time, and 10% Part Time. Highlights an 84% Physical, 6% Hybrid, and 10% Remote job distribution, with an average salary of $45,868 per year, or $22.1 per hour.
VP, Branch Leader - Rochester, NY

VP, Branch Leader - Rochester, NY

Fidelity Investments

Rochester, NY • On-site

$96K - $210K/yr

Full-time

Medical, Retirement, PTO

Posted 16 days ago

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 266 frontline employees who took The Breakroom Quiz

17th of 148 rated financial services

Job description


It's said that the key to a successful sales strategy is to sell yourself, sell your company, and sell your product. With a focus on employee development and collaboration, as the leader of a Fidelity branch team, you'll have the resources at your disposal to succeed on each count.
The Expertise We're Looking For
  • We ask that you have at least five years in financial sales role

  • We believe that three or more years of management within a financial services environment is helpful

  • We require an active Series 9/10, 7 and 66 licenses

The Purpose of Your Role
Our mission in the branch is to drive business opportunities by building a strong sales and service team that will embrace the company brand and cultivate revenue while ensuring high levels of customer happiness. By educating the local market, you will drive national initiatives and grow local business through in-branch customer meetings, informative seminars, lead utilization, and client appreciation.
The Skills You Bring
  • All-encompassing brokerage and mutual fund knowledge and expertise in financial planning

  • A contagious enthusiasm for hiring, mentoring and developing new branch associates

  • Inspired by a real passion for working collaboratively, improving productivity, and implementing ideas

  • Coordinating and supporting cross-company partnerships and regional corporate relationships that lead to business opportunities

  • Positive attitude, empowering business professionalism and strong work ethic with high level of integrity

Note: Fidelity is not providing immigration sponsorship for this position
The Value You Deliver
You are a key leader in the Investor Center and beyond. As someone who leads, recruits, and works closely with branch employees, team building is something you take seriously. You develop sales capabilities through dedicated mentoring and coaching. You are an integral figure in running branch infrastructure, including lobby and operational technology, back office processing, and quality assurance processes.
How Your Work Impacts the Organization
You will function as a general manager for the branch, building and leading strategies to develop your associates and their business. Your leadership and decisions will have significant impact on branch success, market growth and profitability.
Fidelity's Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
The base salary range for this position is $96,000-$210,000 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 09 - FINRA, Series 10 - FINRA, Series 66 - FINRA
Category:
Sales

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