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Finra Principal Jobs (NOW HIRING)

QCP

Head of Compliance, US

New York, NY · On-site

Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer. * Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics ...

QCP

Head of Compliance, US

New York, NY · On-site

Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer. * Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics ...

QCP

Head of Compliance, US

New York, NY · On-site

Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer. * Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics ...

FINRA

Principal Counsel, Regulatory

New York, NY · Hybrid

$131K - $248K/yr

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice ... Serves as a source of legal expertise within FINRA in subject areas and provides advice on ...

FINRA

Principal Counsel, Regulatory

Washington, DC · Hybrid

$131K - $248K/yr

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice ... Serves as a source of legal expertise within FINRA in subject areas and provides advice on ...

FINRA

Principal Counsel, Regulatory

Rockville, MD · Hybrid

$131K - $248K/yr

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice ... Serves as a source of legal expertise within FINRA in subject areas and provides advice on ...

FINRA

Principal Counsel, Regulatory

Woodbridge, NJ · Hybrid

$131K - $248K/yr

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice ... Serves as a source of legal expertise within FINRA in subject areas and provides advice on ...

FINRA

Principal Counsel, Regulatory

Jersey City, NJ · Hybrid

$131K - $248K/yr

The Principal Counsel in Office of General Counsel (OGC), Regulatory Policy renders legal advice ... Serves as a source of legal expertise within FINRA in subject areas and provides advice on ...

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All JobsFinra Principal Jobs

Finra Principal information

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$36.5K

$109.4K

$182K

How much do finra principal jobs pay per year?

As of Jun 9, 2026, the average yearly pay for finra principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What are some common challenges faced by FINRA Principals in maintaining compliance within their firms?

FINRA Principals often encounter challenges in staying current with evolving regulatory requirements and ensuring that all team members adhere to compliance protocols. They must balance thorough oversight with efficient business operations while managing multiple priorities such as training staff, conducting internal audits, and addressing regulatory inquiries. Collaboration with compliance, legal, and operational teams is essential to identify risks and implement corrective actions promptly. Additionally, Principals are responsible for fostering a culture of compliance, which can be demanding in fast-paced or rapidly changing environments.

What are FINRA Principals?

FINRA Principals are individuals at brokerage firms who are responsible for supervising the firm's business and employees to ensure compliance with FINRA regulations and securities laws. They must pass specific qualification exams, such as the Series 24, to demonstrate their knowledge and ability to oversee various aspects of a firm's operations. Principals play a key role in maintaining ethical standards, reviewing transactions, and implementing firm policies. Their oversight helps protect investors and maintain the integrity of the financial markets.

What is the difference between Finra Principal vs Finra Registered Representative?

AspectFinra PrincipalFinra Registered Representative
Required CredentialsSeries 24, Series 7, Series 63, and other supervisory examsSeries 7, Series 63, Series 66 (optional), and registration with firms
Work EnvironmentSupervises and oversees firm activities, compliance, and staffEngages directly with clients, sells securities, and provides investment advice
Employer & Industry UsageUsed by firms to designate supervisory roles and compliance oversightUsed by individuals to conduct securities transactions and client interactions

The main difference between a Finra Principal and a Finra Registered Representative is their role and responsibilities. The Principal oversees compliance and supervises activities within the firm, requiring additional certifications like Series 24. In contrast, the Registered Representative interacts directly with clients, selling securities and providing investment advice, requiring Series 7 and Series 63 licenses. Both roles are essential in the securities industry but serve different functions within a firm.

What are the key skills and qualifications needed to thrive as a FINRA Principal, and why are they important?

To thrive as a FINRA Principal, you need in-depth knowledge of securities regulations, broker-dealer operations, and risk management, typically backed by FINRA Series 24 or 26 licensure. Familiarity with compliance monitoring software, trade surveillance systems, and regulatory reporting tools is essential. Strong analytical thinking, attention to detail, and leadership abilities set standout professionals apart in this role. These skills ensure firms adhere to strict regulatory standards, protect clients, and maintain operational integrity within the financial industry.
Infographic showing various Finra Principal job openings in the United States as of June 2026, with employment types broken down into 3% As Needed, 90% Full Time, 5% Part Time, and 2% Nights. Highlights an 81% Physical, 7% Hybrid, and 12% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Head of Compliance, US

Head of Compliance, US

QCP

New York, NY • On-site

Full-time

Posted 9 days ago

Job description

QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios.

We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics.

Driven by the vision to be the most trusted partner in digital asset markets, we provide innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury.

Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems.

We work to build trusted partnerships, putting client success and care at the heart of everything that we do.

The Head of Compliance will be responsible for designing, implementing, and overseeing the full compliance program of QCP's US's entity which will act primarily as a distributor for QCP's products.

The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems, and regulatory engagement with FINRA / SEC / CFTC / NFA.

Responsibilities

Regulatory & Supervisory Oversight

  • Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer.
  • Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics, Conflicts of Interest policies
  • Ensure compliance with:
  • Securities Exchange Act of 1934; FINRA rules and guidance; Applicable state securities laws
  • Oversee supervisory systems for: Registered representatives, sales and distribution activities and communications with the public

Product & Disclosure Governance

  • Review and approve: offering memoranda and risk disclosures; Marketing and investor communications
  • Monitor product developments to ensure continued regulatory alignment.

AML, Financial Crime & Risk Controls

  • Serve as the designated AML Compliance Officer.
  • Oversee: Customer Identification Program (CIP); Enhanced Due Diligence (EDD) for institutional and crypto-related clients; Sanctions screening and escalation; SAR monitoring and filing

Regulatory Engagement & Examinations

  • Act as primary point of contact with Federal and State regulators:

Requirements

  • Licensing (Required or Immediately Obtainable)
  • FINRA Series 7 - General Securities Representative
  • FINRA Series 24 - General Securities Principal
  • Licensing (Strongly Preferred)
  • Series 66 - Uniform Combined State Law Exam
  • Minimum 8-12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms
  • Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions
  • Experience with: Structured notes, fixed income, or derivative-linked securities with Institutional or accredited investor distribution models

Benefits

The Environment We Offer

As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management.

Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term.

We also provide flexible working arrangement as required and a casual and fun environment to boot!

Apply