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Finra Series 27 Jobs (NOW HIRING)

Socket.dev

Chief Financial Officer

Chicago, IL · On-site

$180 - $290/hr

FINRA Series 27 license is required, and a Series 24 is highly preferre * Exceptional leadership, communication, and interpersonal skills, with the ability to serve as a key partner on an executive ...

CXG Holdings Inc

Broker-Deal CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with mergers, acquisitions, or strategic transactions. What We Offer * Competitive compensation package.

CXG Holdings Inc

Broker-Deal CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with mergers, acquisitions, or strategic transactions. What We Offer * Competitive compensation package.

CXG Holdings Inc

Broker-Deal CEO

Smithtown, NY · On-site

$150K - $175K/yr

Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with mergers, acquisitions, or strategic transactions. What We Offer * Competitive compensation package.

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Finra Series 27 information

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$22.5K

$57.6K

$83.5K

How much do finra series 27 jobs pay per year?

As of Aug 9, 2026, the average yearly pay for finra series 27 in the United States is $57,604.00, according to ZipRecruiter salary data. Most workers in this role earn between $38,500.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a Finra Series 27?

A FINRA Series 27 job typically refers to a Financial and Operations Principal (FINOP) responsible for overseeing the financial reporting, recordkeeping, and compliance of a broker-dealer. This role ensures adherence to SEC and FINRA regulations, including maintaining net capital requirements and submitting financial filings. Individuals in this position must pass the Series 27 exam, which tests their knowledge of financial responsibility rules and regulatory requirements.

What are the key skills and qualifications needed for a Finra Series 27?

To thrive in a Finra Series 27 role, you need a strong background in finance or accounting, deep knowledge of SEC and FINRA regulations, and an active FINRA Series 27 license. Familiarity with accounting platforms, compliance monitoring tools, and brokerage back-office systems is usually required. Outstanding organizational skills, attention to detail, and the ability to communicate effectively with auditors and internal teams are highly valued. These competencies are vital to ensure firms remain compliant with financial regulations and accurately report their financial condition.

What are the primary responsibilities and challenges of a Finra Series 27 professional?

Professionals with a FINRA Series 27 license typically oversee financial and operational management for broker-dealer firms, ensuring compliance with regulatory requirements such as financial reporting and net capital rules. One of the key challenges is staying up-to-date with frequent updates to SEC, FINRA, and other regulatory guidelines while maintaining accurate and timely financial records. These roles often require collaboration with compliance departments, senior management, and external auditors. The fast-paced environment and high standards for accuracy mean that attention to detail and adaptability are essential for success in this position.

More about Finra Series 27 jobs
What are the most commonly searched types of Finra Series 27 jobs? The most popular types of Finra Series 27 jobs are:
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Finra Series 27 jobs near you
Infographic showing various Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 87% In-person, 10% Hybrid, and 3% Remote job distribution, with an average salary of $57,604 per year, or $27.7 per hour.

Assistant Vice President, Regulatory Accounting

Wedbush Securities

Los Angeles, CA

Full-time

Re-posted 10 days ago

Job description

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Our growing Accounting team is seeking an Assistant Vice President, Regulatory Accounting, to oversee and ensure financial regulatory compliance across multiple broker‑dealer entities.


Responsibilities include but are not limited to:

  • Oversee and manage regulatory accounting activities for newly created broker-dealer
  • Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings
  • Review and audit daily, weekly, monthly, quarterly, and annual Capital Reporting, Customer and PAB reserve computation
  • Audit and analyze Balance Sheet and P&L for regulatory filings
  • Manage relationships with regulators (FINRA and SEC) by analyzing, researching and responding to inquiries
  • Coordinate with Futures regulatory counterparts to ensure prompt and accurate responses to inquiries from Futures regulators (CFTC and CME)
  • Research, evaluate, and enhance written regulatory accounting policies and procedures to ensure accuracy and compliance
  • Lead and manage initiatives to implement regulatory accounting best practices and process improvements
  • Serve as a key liaison with internal and external financial and regulatory auditors
  • Partner cross‑functionally with departments across the firm to prepare regulatory filings and maintain ongoing regulatory compliance
  • Audit departmental data and documentation to validate completeness, adequacy, and accuracy
  • Train, mentor, and provide ongoing guidance to regulatory accounting staff
  • Perform other duties as required and assigned

  • Bachelor's degree required, preferably for Business or Economics with a concentration in Accounting or Finance
  • Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment
  • Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3
  • FINRA Series 27 required, or willingness to obtain 
  • Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred
  • Exceptionally detail-oriented with a strong focus on accuracy and compliance
  • Excellent communication and presentation skills, with the ability to engage effectively across departments and organizational levels
  • Strong analytical skills with the ability to interpret complex regulatory and financial information

Apply