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Entry Level Finra Series 99 Jobs (NOW HIRING)

Forge Global

Trade Operations, Analyst

New York, NY · Hybrid

$65K - $80K/yr

Ensure all trades comply with internal controls and regulatory (SEC/FINRA) requirements 3. System ... SIE and Series 99 to be obtained 90 days from date of hire * Physical requirements: operate a ...

Forge Global

Trade Operations, Analyst

San Francisco, CA · Hybrid

$65K - $80K/yr

Ensure all trades comply with internal controls and regulatory (SEC/FINRA) requirements 3. System ... SIE and Series 99 to be obtained 90 days from date of hire * Physical requirements: operate a ...

Fairygodboss

Cash and Controls Associate I

Newark, DE · On-site

$60 - $80/hr

FINRA licensing: SIE + Series 99 (or willingness to obtain) * Data analysis skills and ability to communicate insights effectively * Ability to create and deliver presentations to management and ...

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Entry Level Finra Series 99 information

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

As of Sep 6, 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.

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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 1% Internship, 84% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 83% Physical, 4% Hybrid, and 13% Remote job distribution, with an average salary of $46,598 per year, or $22.4 per hour.

Service Experience Supervisor

Cambridge Investment Research, Inc.

Phoenix, AZ • Hybrid

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 5 days ago

Job description

Job SummaryKey Deliverables and Responsibilities

As a Service Experience Supervisor, you will lead a team dedicated to delivering exceptional service to our Financial Professionals, clients, and internal partners. This role is ideal for a proven leader who thrives in a dynamic environment, embraces change, drives accountability, and develops high-performing teams. You will serve as a coach, mentor, and change champion, helping associates navigate evolving business priorities while maintaining a strong focus on service quality, operational effectiveness, and team engagement.

  • Foster a culture of accountability, ownership, collaboration, and continuous improvement.

  • Support associate development through training, coaching, and career growth opportunities.

  • Lead your team through organizational, procedural, and technology-related changes with confidence and transparency.

  • Identify process improvement opportunities that enhance service delivery, efficiency, and the overall client experience.

  • Monitor service levels, quality metrics, and team performance to ensure consistent results.

  • Address escalated service concerns and work collaboratively to deliver effective resolutions.

  • Utilize data and trends to identify opportunities for improvement and remove obstacles impacting performance.

  • Establish clear expectations and hold team members accountable for commitments, deadlines, and performance goals.


What We Are Looking For

Required Qualifications

  • Three or more years of leadership, supervisory, finance, operational, or related experience.

  • Demonstrated ability to lead teams through change and drive adoption of new processes or initiatives.

  • Strong coaching, performance management, and employee development skills.

  • Excellent communication, interpersonal, and relationship-building abilities.

  • Strong problem-solving, decision-making, and organizational skills.

  • FINRA SIE and Series 99 license required

Location: Fairfield, IA or Phoenix, AZ, - Hybrid in-office 3 days/week

Salary Range:$67,000-82,000


Why Cambridge?

Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

  • Premium benefit package including medical, vision, dental, life and long-term disability insurance
  • Vacation/sick time
  • 401K retirement plan with company matching program
  • Eleven paid holidays

You can find more details about our comprehensive benefits packagehere.


Cambridge Overview:

Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.

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