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Finra Series 24 Jobs (NOW HIRING)

Osaic

Branch Office Examiner

Scottsdale, AZ · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business, fee based advisory business and common investment ...

Osaic

Branch Office Examiner

Oakdale, MN · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business, fee based advisory business and common investment ...

Osaic

Branch Office Examiner

La Vista, NE · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business, fee based advisory business and common investment ...

Osaic

Branch Office Examiner

Saint Petersburg, FL · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business, fee based advisory business and common investment ...

Osaic

Branch Office Examiner

La Vista, NE · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. Knowledge of the retail brokerage business, fee based advisory business and common investment ...

Deutsche Bank

Registered Principal

Jacksonville, FL · Hybrid

$75K - $110K/yr

This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series 24 reviewing communications and marketing materials acting as a gatekeeper.You will supervise ...

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How much do finra series 24 jobs pay per year?

As of Jul 17, 2026, the average yearly pay for finra series 24 in the United States is $81,597.00, according to ZipRecruiter salary data. Most workers in this role earn between $52,000.00 and $95,000.00 per year, depending on experience, location, and employer.

What are some typical responsibilities of someone holding a FINRA Series 24 license within a brokerage or financial firm?

Professionals with a FINRA Series 24 license are typically responsible for overseeing the activities of registered representatives, ensuring adherence to industry regulations, and implementing firm-wide compliance policies. Their daily tasks may include reviewing and approving new accounts, supervising trading activity, managing compliance audits, and addressing regulatory inquiries. They often collaborate with compliance officers, branch managers, and legal teams to uphold internal standards and respond to evolving regulatory requirements. This supervisory position is essential for maintaining the integrity of financial operations and supporting a strong compliance culture within the firm.

What are the key skills and qualifications needed to thrive in the Finra Series 24 position, and why are they important?

To excel in a Finra Series 24 supervisory role, individuals need in-depth knowledge of securities regulations, compliance procedures, and extensive experience in the financial services industry, backed by the FINRA Series 24 license. Familiarity with compliance monitoring systems, trading platforms, and regulatory reporting tools is crucial. Strong leadership, attention to detail, and effective communication skills help individuals guide teams and ensure adherence to industry rules. These abilities are critical to maintaining regulatory compliance, minimizing firm risk, and supporting a culture of ethical conduct within the organization.

What is a FINRA Series 24 job?

A FINRA Series 24 job typically refers to a role in financial services that requires the Series 24 license, which qualifies individuals to supervise or manage brokerage operations. Professionals in this role oversee regulatory compliance, trading activities, and sales practices within a firm. Common job titles include Branch Manager, Compliance Officer, and Supervisory Principal. This license is required for individuals responsible for ensuring adherence to FINRA and SEC regulations within their firm.

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Finra Series 24 jobs near you
Supervisor BD/RIA (Series 7&24)

Supervisor BD/RIA (Series 7&24)

San Blas Securities

Chicago, IL • On-site

$65K - $115K/yr

Full-time

Re-posted 9 days ago

Job description

About San Blas Securities:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.
We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Competitive Compensation + bonus based on experience.  $80 - $100K
Responsibilities include:
  • Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
  • Manage Firm’s Onboarding Training Program for compliance with new hires
    • Schedule new hire training
    • Assist in administering firm annual training and advisor attestations
    • Schedule targeted training as required
  • Foster a culture of compliance
  • Document supervisory activities
  • Review advisors purchase and sales blotter
  • Review advisors communications to (and from) clients
  • Review/report customer complaints to CCO
  • Assist in conducting Branch Exams
  • Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
Qualifications
  • Bachelor’s degree or experience equivalent
  • FINRA Series 7 and FINRA Series 24 required
  • 3 – 5 years relevant experience at RIA and BD or industry regulator
  • Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
  • Familiarity with RBC and Schwab back-office a plus

 

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