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Entry Level Finra Series 99 Jobs in Georgia (NOW HIRING)

Osaic

Internal Advisory Transitions Consultant

Atlanta, GA · Hybrid

$50K - $60K/yr

The Internal Advisory Transitions Associate is an entry-level role within the Advisory Consulting ... Active FINRA Series 7 license, or successful completion within 6 months of hire. * Strong phone ...

Osaic

Internal Advisory Transitions Consultant

Atlanta, GA · Hybrid

$50K - $60K/yr

The Internal Advisory Transitions Associate is an entry-level role within the Advisory Consulting ... Active FINRA Series 7 license, or successful completion within 6 months of hire. * Strong phone ...

Osaic

Internal Advisory Transitions Consultant

Atlanta, GA · Hybrid

$50K - $60K/yr

The Internal Advisory Transitions Associate is an entry-level role within the Advisory Consulting ... Active FINRA Series 7 license, or successful completion within 6 months of hire. * Strong phone ...

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Entry Level Finra Series 99 information

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 are the most commonly searched types of Finra Series 99 jobs in Georgia? The most popular types of Finra Series 99 jobs in Georgia are:
What are popular job titles related to Entry Level Finra Series 99 jobs in Georgia? For Entry Level Finra Series 99 jobs in Georgia, the most frequently searched job titles are:
What job categories do people searching Entry Level Finra Series 99 jobs in Georgia look for? The top searched job categories for Entry Level Finra Series 99 jobs in Georgia are:
What cities in Georgia are hiring for Entry Level Finra Series 99 jobs? Cities in Georgia with the most Entry Level Finra Series 99 job openings:
Entry Level Finra Series 99 jobs near you
Infographic showing various Entry Level Finra Series 99 job openings in Georgia as of May 2026, with employment types broken down into 75% Full Time, and 25% Part Time. Highlights an 50% In-person, and 50% Remote job distribution.
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
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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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