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Finra Series 27 Jobs (NOW HIRING)

FAVARH

Accounting Manager - Finance

Atlanta, GA · On-site +1

Must meet qualifications to sit for the FINRA Series 27 Exam. * Excellent oral and written communication and interpersonal skills and ability to work collaboratively and effectively with colleagues ...

Alpaca

Financial Operations Principal

New York, NY · On-site +1

Active FINRA Series 27 (Financial and Operations Principal) license * 7+ years of broker-dealer financial operations or regulatory accounting experience * Experience preparing and filing FOCUS ...

Wells Fargo

Registered Client Associate

Denver, CO · On-site

US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 ... Employees may also be eligible for incentive opportunities. $27.88 - $41.83 Benefits Wells Fargo ...

DRW

Broker Dealer Senior Accountant

Chicago, IL · On-site

$110K - $135K/yr

Prepare monthly and quarterly FINRA filings, including FOCUS Reports and Net Capital computations ... Willingness to pass Series 27 exam within one year of joining. * Strong analytical, problem-solving ...

Osaic

Accounting Manager

Scottsdale, AZ · Hybrid

$115K - $130K/yr

FINRA SIE, Series 99 or Series 27 Required (may be completed in first 6 months of job) * Active CPA highly preferred Responsibilities: * Ownership of team's monthly close process including close ...

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Finra Series 27 information

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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:
What job categories do people searching Finra Series 27 jobs look for? The top searched job categories for Finra Series 27 jobs are:
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.

Customer Service Associate Licensed

Wells Fargo NOAM

Minneapolis, MN

$15.25 - $21/hr

Full-time

Medical, Life, Retirement, PTO

Re-posted 16 hours ago

Job description

About this role:
Wells Fargo is seeking a Customer Service Associate Licensed to work for its Investment Contact Center (ICC). In this role, you will assist brokerage clients via telephone. You will facilitate trades, service accounts, and educate clients on various servicing matters, including navigation of the wfa.com public and secure website. Successful employees act as front-line problem solvers, speak to trading strategies, have a strong understanding of investment market terminology, and possess a solid understanding of fundamental and technical facts affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to qualify for immediate FINRA registration.
In this role, you will:
  • Work within a contact center environment to execute and confirm routine securities transactions initiated by customers.
  • Provide quality customer service addressing issues, trading strategies, market terminology and account status
  • Identify and recommend opportunities for process improvement and risk control development
  • Serve as subject matter expert for the securities market
  • Understand fundamental and technical information affecting the market
  • Make decisions and resolve issues to meet business objectives
  • Interpret policies, procedures, and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Interact with internal customers
  • Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
  • 6+ months of Customer Service - Licensed experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63(or 66) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
  • Ability to navigate multiple computer system windows, applications, and search tools
  • Intermediate Microsoft Office skills
  • Good attention to detail and accuracy skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to use empathy to understand client concerns, questions, and problems pertaining to financial transactions
  • Trading experience
  • Brokerage industry experience
  • Contact center experience
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues
  • Ability to discuss digital enhancements to provide a better client experience
Job Expectations:
  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
Posting Location:
  • 550 S 4th St. Floor 13, Minneapolis, MN 55415
@RWF22
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.
$27.88 - $41.83
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement
Posting End Date:
30 Aug 2026
* Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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