Chief Derivatives Compliance Officer
$255K - $300K/yr
The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license.
$255K - $300K/yr
The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license.
$255K - $300K/yr
The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license.
$255K - $300K/yr
The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license.
$255K - $300K/yr
The ideal candidate should have over 8 years of experience in financial services compliance, including work with futures and derivatives, and should hold an active FINRA Series 3 license.
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As a Trade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As a Trade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$65K - $115K/yr
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 ...
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Chicago, IL · On-site
$65K - $115K/yr
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 ...
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As aTrade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As aTrade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As aTrade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As aTrade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As a Trade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
Chicago, IL · On-site
$70K - $90K/yr
FINRA Series 3, 7, and 63 Certified As a Trade Desk Representative with tastytrade , you will be responsible for providing effective customer service for tastytrade customers by utilizing sharp, in ...
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
Nashville, TN · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Nashville, TN · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
Des Moines, IA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Des Moines, IA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Madison, WI · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Madison, WI · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Katy, TX · On-site
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
Katy, TX · On-site
We believe that three or more years of management within a financial services environment is ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...
Jefferson City, MO · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Jefferson City, MO · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Columbus, OH · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Columbus, OH · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Miami, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Miami, FL · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Atlanta, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Salt Lake City, UT · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Salt Lake City, UT · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Norcross, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
Norcross, GA · On-site
$70K - $81K/yr
Have your FINRA Series 7 and 63 and a passion for serving others? Join our team of "crew" as a ... To celebrate your dedication, we offer milestone rewards in this role: * $10,000 at your 3-year ...
$7.93 - $11.56
2% of jobs
$11.56 - $15.19
8% of jobs
$16.97 is the 25th percentile. Wages below this are outliers.
$15.19 - $18.82
31% of jobs
The median wage is $19.70 / hr.
$18.82 - $22.44
38% of jobs
$22.44 - $26.07
16% of jobs
$26.07 - $29.70
1% of jobs
$29.70 - $33.33
1% of jobs
$33.33 - $36.95
3% of jobs
$36.95 - $40.58
0% of jobs
$40.58 - $44.21
0% of jobs
$44.21 - $47.84
0% of jobs
$7
$22
$47
A FINRA Series 3 job typically refers to a role in the futures and commodities trading industry that requires a Series 3 license. The Series 3 exam, administered by the National Futures Association (NFA), qualifies individuals to sell commodity futures contracts and options. Common roles requiring this license include commodity brokers, futures traders, and risk analysts. These professionals help clients manage risk, hedge investments, and execute trades in commodities markets. Obtaining the Series 3 license demonstrates knowledge of market regulations, trading strategies, and ethical practices.
To thrive as a Finra Series 3 professional, you need in-depth knowledge of commodity futures and options markets, strong quantitative skills, and a Series 3 license issued by FINRA after passing the National Commodities Futures Examination. Familiarity with trading platforms, market analysis software, and regulatory compliance systems is critical. Excellent communication, attention to detail, and a high level of integrity are important soft skills in this field. These capabilities ensure you can effectively advise clients, execute trades, and comply with industry regulations.
Professionals with a Finra Series 3 license commonly work in brokerage firms, trading desks, or commodity investment companies, where they advise clients on futures and options trading strategies. Day-to-day, they monitor market trends, execute trades, maintain compliance with industry regulations, and provide ongoing client support. These roles often involve high-paced environments and require collaboration with other financial professionals, such as analysts and risk managers. Career growth opportunities are available in areas like senior trading, portfolio management, or compliance, especially as you gain more experience and build a strong performance track record.

$255K - $300K/yr
Full-time
Posted 5 days ago
Responsibilities include advising on regulatory requirements, leading regulatory interactions, and developing compliance policies. The expected salary range for this role is between $255,000 and $300,000 USD. #J-18808-Ljbffr