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Finra Jobs in Union, KY (NOW HIRING)

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Finra information

See Union, KY salary details

$7

$20

$43

How much do finra jobs pay per hour?

As of Aug 13, 2026, the average hourly pay for finra in Union, KY is $20.46, according to ZipRecruiter salary data. Most workers in this role earn between $15.19 and $21.35 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 cities near Union, KY are hiring for Finra jobs?

Cities near Union, KY with the most Finra job openings:

Finra jobs near you
Infographic showing various Finra job openings in Union, KY as of August 2026, with employment types broken down into 100% Full Time. Highlights an 69% In-person, 8% Hybrid, and 23% Remote job distribution, with an average salary of $42,554 per year, or $20.5 per hour.

Planning and Advice Help Desk - Covington, KY

Fidelity Investments

Covington, KY • On-site

$18 - $24.25/hr

Full-time

This job post has expired 1 day ago. Applications are no longer accepted.

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 271 frontline employees who took The Breakroom Quiz

15th of 150 rated financial services

Job description


Note: Fidelity will not provide immigration sponsorship for this position.
The Role
The Help Desk, Investment Solutions role serves as a critical partner in the success and development of phone-based Planning and Advice associates. Working closely with front-line leaders, Help Desk Associates play a critical role in onboarding and training by providing individualized coaching and scalable learning support that helps build advisor confidence and performance and deliver exceptional client experiences. They provide real-time assistance to Investment Solutions associates via phone and chat, offering guidance on complex transactions, problem resolution, and best practices to ensure a world-class client experience. In addition, they help associates effectively integrate Fidelity's planning, guidance, and service technologies while reinforcing the financial planning knowledge and regulatory requirements associated with required licenses.
The Expertise and Skills You Bring
  • Series 7 & 63 required; Series 66 preferred, and required within 30 days of hire
  • Series 9/10 required within 90 days of hire
  • Previous coaching experience preferred
  • Ability to quickly assess potential risk of transactions, situations, and language-usage based on Fidelity's products, services, and policies
  • Motivated self-starter who enjoys encouraging others to succeed and grow
  • An inquisitive nature and the ability to look past a stated need to get to the root of an issue
  • Dedicated to acting with integrity in every client and associate interaction
  • A passion for mentoring associates to be their best and thrive in a team environment
  • Strong communication skills, including the ability to summarize complex information, clarify key concepts, and deliver effective presentations
  • Excellent time management in an autonomous environment
  • Demonstrated ability to make sound decisions that address client needs and effectively resolve escalated customer issues
  • Ability to obtain and maintain 9/10 trade approval authority, demonstrating the judgment and accuracy required to support higher-dollar trading activity
  • Expertise in technical coaching, offering associate support on more complex topics, including effective tool usage and navigation of multiple systems
  • A detailed understanding of business partner roles, how the Investments Solutions Group fits in the sales model, and how to use the appropriate resources available to provide the right solution for our clients
  • Ability to drive operational efficiency through call reviews, associate coaching, and resolve daily transaction log issues

The Team
The Investment Solutions Help Desk team plays a vital role in enabling the success of our Planning and Advice associates. As trusted experts in process, technology, and plan knowledge, team members provide coaching, mentorship, and consultative support that strengthen advisor capabilities and elevate the client experience. They also take ownership of complex and escalated client situations, ensuring concerns are resolved with care, professionalism, and sound business judgment. By combining deep expertise with a passion for development and service excellence, the Help Desk team helps advisors build confidence, foster meaningful client relationships, and deliver exceptional results.
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.
Certifications:
Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 66 - FINRA
Category:
Sales Support
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.

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