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Entry Level Finra Series 99 Jobs (NOW HIRING)

JP Morgan Chase

Cash and Controls Associate I

Newark, DE

  • Medical

  • Retirement

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 ...

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

  • Medical

  • Retirement

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 ...

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

  • Medical

  • Retirement

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 ...

JP Morgan Chase

Cash and Controls Associate I

Newark, DE · On-site

  • Medical

  • Retirement

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

  • PTO

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

  • PTO

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

Kalamazoo, MI · On-site

We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...

Principal

Entry-Level Financial Advisor

Kalamazoo, MI

$76K/yr

We provide comprehensive training, one-on-one mentorship, and sponsorship for FINRA Series 7 and Series 66 licensing to help you build the knowledge and confidence needed to succeed. At Principal ...

Principal

Entry-Level Financial Advisor

Grand Rapids, MI · On-site

$100K/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 ...

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Entry Level Finra Series 99 information

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$10

$22

$40

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

As of Aug 15, 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.

What can you do with an entry level FINRA Series 99 license?

An entry-level FINRA Series 99 license qualifies individuals for roles such as operations associate, client services representative, or compliance support in financial firms. It demonstrates knowledge of firm operations, regulatory requirements, and industry procedures, often serving as a stepping stone to more advanced roles in securities operations and compliance.
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Entry Level Finra Series 99 jobs near you
Infographic showing various Entry Level Finra Series 99 job openings in the United States as of August 2026, with employment types broken down into 84% Full Time, 12% Part Time, 1% Temporary, and 3% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $46,598 per year, or $22.4 per hour.

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Re-posted 23 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
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Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.

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