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Finra Jobs in Spring Valley, NY (NOW HIRING)

Td

Principal Review Analyst - Charlotte, NC

Ramsey, NJ · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

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Kroll

Director, Compliance Consulting

New York, NY · On-site

U4/U5) under the Advisers Act, Investment '40 Act, and FINRA rules. * Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in ...

Kroll

Director, Compliance Consulting

New York, NY

U4/U5) under the Advisers Act, Investment '40 Act, and FINRA rules. * Develop and implement tailored compliance programs, including written policies, procedures, testing, and surveillance in ...

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Finra information

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$48

How much do finra jobs pay per hour?

As of Aug 7, 2026, the average hourly pay for finra in Spring Valley, NY is $22.64, according to ZipRecruiter salary data. Most workers in this role earn between $16.83 and $23.61 per hour, depending on experience, location, and employer.

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 knowledge of securities regulations, financial markets, and compliance procedures. Skills in analytical thinking, attention to detail, communication, and proficiency with industry-specific tools or software are also important. Relevant certifications such as Series 7 or Series 63 may be preferred 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?

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.

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. It requires knowledge of securities laws and often involves working in a structured environment with regular hours. The organization provides benefits and career advancement within the financial industry.
What are popular job titles related to Finra jobs in Spring Valley, NY? For Finra jobs in Spring Valley, NY, the most frequently searched job titles are:
What cities near Spring Valley, NY are hiring for Finra jobs? Cities near Spring Valley, NY with the most Finra job openings:
Finra jobs near you
Infographic showing various Finra job openings in Spring Valley, NY as of August 2026, with employment types broken down into 100% Full Time. Highlights an 50% In-person, and 50% Hybrid job distribution, with an average salary of $47,085 per year, or $22.6 per hour.

NY Partner/Senior Associate: Financial services litigation/securities/FINRA

KeyStaff

New York, NY • Hybrid

$200K - $250K/yr

Full-time

Re-posted 24 days ago

Job description

New York Partner/Senior Associate: Financial services litigation/securities/FINRA.
(lower Manhattan-hybrid)
Our client is seeking a Senior Attorney or Partner to join their New York office with a focus
on Financial Services Litigation, Securities matters, and FINRA-related disputes. This is an
excellent opportunity for an experienced attorney looking to join a growing practice with
sophisticated work and strong long-term potential.
Responsibilities:
• Handle complex financial services litigation, securities disputes, and FINRA arbitration
matters from inception through resolution
• Manage all phases of litigation, including pleadings, discovery, depositions, motion
practice, mediations, hearings, and trial/arbitration preparation
• Represent broker-dealers, financial institutions, investment advisors, and other financial
services clients
• Provide strategic legal counsel and risk assessment on regulatory and litigation matters
• Develop and maintain strong client relationships
• Collaborate with attorneys across practice groups on complex matters
• Participate in business development and firm growth initiatives
• Mentor junior attorneys and contribute to team development
Qualifications:
• J.D. from an accredited law school
• Licensed and in good standing in New York
• Significant experience in financial services litigation, securities litigation, and/or FINRA
arbitration matters
• Strong litigation, analytical, and writing skills
• Ability to independently manage sophisticated matters and client relationships
• Portable book of business is a plus, but not required
Compensation:
• Partner-level compensation ranging from $200,000–$250,000+, depending on experience
and portable business
• Bonus opportunities available
• Competitive benefits package offered
The firm is also open to considering highly qualified Senior Associates seeking long-term
growth into a leadership role.

Please email resume to: Sheila@mykeystaff.com

#KT