ZipRecruiter

Log In

2

Entry Level Finra Series 99 Jobs (NOW HIRING)

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...

janney

FINRA Series 7 or Series 99 license is a plus This role will be hybrid, the individual will work approximately three days per week in-office. Why work for us? Benefits: Janney believes that its ...

janney

FINRA Series 7 or Series 99 license is a plus This role will be hybrid, the individual will work approximately three days per week in-office. Why work for us? Benefits: Janney believes that its ...

Principal

Entry-Level Financial Advisor

Lansing, MI · On-site

Description Launch your career as a Financial Advisor with industry-leading training, mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing. No prior Financial Advisor experience is ...

Principal

Entry-Level Financial Advisor

Lansing, MI

$76K/yr

What We Offer - Sponsorship for FINRA Series 7 and Series 66 licensing - Comprehensive training and onboarding program - Mentorship from experienced financial professionals - AI-powered prospecting ...

Stash

Brokerage Operations Associate

New York, NY · Hybrid

FINRA Series 99 required. Series 7, 63 * Bachelor's Degree in Finance, Economics, or quantitative field * Advanced skills in MS Excel * Intermediate skills in SQL and VBA/Macros * Proven hands-on ...

next page

Showing results 1-20

All JobsFinra Series 99 JobsEntry Level Finra Series 99 Jobs

Entry Level Finra Series 99 information

See salary details

$10

$22

$40

How much do entry level finra series 99 jobs pay per hour?

As of Jul 27, 2026, the average hourly pay for entry level finra series 99 in the United States is $22.40, according to ZipRecruiter salary data. Most workers in this role earn between $17.07 and $25.00 per hour, depending on experience, location, and employer.

What is the difference between Entry Level Finra Series 99 vs Entry Level Finra Series 7?

AspectEntry Level Finra Series 99Entry Level Finra Series 7
CertificationsSeries 99Series 7
Work EnvironmentOperations, compliance, back-officeSales, client interactions, securities trading
Employer & Industry UsageBroker-dealers, compliance firmsBroker-dealers, securities firms
Common Search & ComparisonYesYes

The Entry Level Finra Series 99 focuses on operations and compliance roles within broker-dealers, requiring knowledge of back-office procedures. In contrast, the Entry Level Finra Series 7 prepares individuals for client-facing roles involving securities trading and sales. While both certifications are essential in the securities industry, they serve different functions and career paths, with Series 99 emphasizing operational support and Series 7 emphasizing sales and trading activities.

More about Entry Level Finra Series 99 jobs
What cities are hiring for Entry Level Finra Series 99 jobs? Cities with the most Entry Level Finra Series 99 job openings:
What are the most commonly searched types of Finra Series 99 jobs? The most popular types of Finra Series 99 jobs are:
What states have the most Entry Level Finra Series 99 jobs? States with the most job openings for Entry Level Finra Series 99 jobs include:
What job categories do people searching Entry Level Finra Series 99 jobs look for? The top searched job categories for Entry Level Finra Series 99 jobs are:
Entry Level Finra Series 99 jobs near you
Infographic showing various Entry Level Finra Series 99 job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 86% Full Time, 11% Part Time, and 2% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $46,598 per year, or $22.4 per hour.
Compliance Analyst

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Posted 4 days ago

Job description

Overview
Job Purpose
Intercontinental Exchange, Inc. (ICE), a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance related functions for ICE Bonds Securities Corporation ("ICE Bonds"), an SEC-registered broker dealer and a member of FINRA and the MSRB which operates multiple fixed income ATSs and offers related broker dealer services to its institutional customer base.
The Compliance Analyst will be responsible for the review of electronic communications to ensure compliance with regulations from multiple regulators. In addition, the Compliance Analyst will be responsible for various compliance functions related to reporting, onboarding and registration.
The Compliance Analyst must be analytical, demonstrate professional accountability, and communicate clearly and concisely. In order to succeed in this role, the candidate will need to possess the ability to learn quickly and be willing to acquire additional responsibilities.
This position will report to the Chief Compliance Officer of ICE Bonds and responsibilities include, but are not limited to, the following:
Responsibilities
  • Monitor electronic communications of covered persons to ensure compliance with company policies and regulatory guidelines.
  • Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm's policies and procedures and applicable regulatory requirements.
  • Review and completion of various written supervisory procedures related to US broker dealer regulations.
  • Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
  • Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
  • Assist in the coordination of registration exams and employee registration with relevant regulator(s).
  • Manage continuing education for Associated Persons.
  • Participate in the preparation of regulatory reports/documents, as applicable.

Knowledge and Experience
  • Bachelor's Degree.
  • FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take and pass either the FINRA Series 7 or Series 99 within 6 months of employment;
  • Strong analytical and organizational skills with acute attention to detail.
  • Excellent verbal and written communication skills.
  • Self-motivated with ability to multi-task and work independently with confidential and sensitive information.
  • Ability to work effectively in a fast-paced, sometimes stressful environment.
  • Strong computer skills preferred in Microsoft Office: Word, PowerPoint & Excel.

Preferred Experience
  • Experience in a fixed income securities related business
  • FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99

#LI-HR1 #LI-ONSITE
-
Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.

Apply