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Finra Series 4 Jobs (NOW HIRING)

AGC Consulting

PR · On-site

FINRA Series 24 certification is also required or ability to obtain within 3 months of hire. Series 4 and 79 a plus. * Education: Bachelor's degree in Finance, Business Administration, or related ...

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Finra Series 4 information

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$11

$27

$45

How much do finra series 4 jobs pay per hour?

As of Jul 24, 2026, the average hourly pay for finra series 4 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What professions make 500,000 a year?

Professions that can reach $500,000 annually include investment bankers, hedge fund managers, senior financial advisors, and certain high-level executives. These roles often require advanced certifications like the FINRA Series 4 for securities trading, extensive experience, and a strong client base or performance record.

What is the FINRA Series 4 license?

The FINRA Series 4 license, also known as the Registered Options Principal Exam, is a qualification exam required for individuals who will supervise options sales activities at a broker-dealer. Passing the Series 4 allows professionals to oversee and approve options trading activities, ensuring compliance with regulations and firm policies. Candidates must already hold a Series 7 or Series 62 license before taking the Series 4. This certification is essential for those looking to take on supervisory roles in options trading within the securities industry.

What are typical challenges faced by professionals preparing for the FINRA Series 4 exam while working full-time?

Balancing exam preparation with a full-time job can be challenging for aspiring Registered Options Principals. Many candidates find it difficult to allocate sufficient study time amid daily work responsibilities, especially since the Series 4 covers complex options strategies and compliance regulations. To succeed, it’s important to create a structured study plan, leverage employer-provided resources, and connect with colleagues who have passed the exam. Employers often support candidates through study groups and flexible scheduling, but proactive communication and time management are key to overcoming these challenges.

What profession makes $400,000 a year?

In the financial industry, senior roles such as hedge fund managers, investment bankers, and certain financial advisors can earn $400,000 or more annually. These positions typically require extensive experience, advanced certifications, and strong client or asset management skills.

What are the key skills and qualifications needed to thrive as a FINRA Series 4 Registered Options Principal, and why are they important?

To thrive as a FINRA Series 4 Registered Options Principal, you need extensive knowledge of options trading, securities regulations, and supervisory procedures, typically demonstrated by passing the Series 4 exam and holding prerequisite licenses like Series 7. Familiarity with compliance monitoring systems, trade surveillance software, and regulatory reporting tools is crucial. Strong analytical thinking, attention to detail, and effective communication skills are essential for ensuring regulatory adherence and guiding teams. These capabilities help maintain firm compliance, mitigate risks, and protect both clients and the financial institution.

How hard is FINRA Series 4?

The FINRA Series 4 exam is considered moderately difficult, requiring a solid understanding of options, securities, and regulatory rules. It typically involves studying for about 20-40 hours and passing with a score of 70% or higher. Success depends on preparation, familiarity with the exam content, and test-taking skills.

What is the difference between Finra Series 4 vs Finra Series 7?

AspectFinra Series 4Finra Series 7
Certifications RequiredYesYes
Work EnvironmentBroker-dealer firms, regulatory rolesGeneral securities sales, trading, and investment advice
Industry UsagePrimarily for registered options and futures representativesBroader securities and investment products
Common Search IntentUnderstanding licensing for options and futuresLicensing for comprehensive securities sales

The Finra Series 4 license focuses on options and futures trading, often used by professionals in derivatives and futures firms. In contrast, the Finra Series 7 covers a wider range of securities, including stocks, bonds, and mutual funds, suitable for general securities representatives. Both require passing exams and are essential for different roles within the securities industry, with Series 4 more specialized and Series 7 more comprehensive.

What can you do with a Series 4 license?

A Series 4 license qualifies individuals to supervise and oversee securities options activities, including options trading and compliance, within a brokerage firm. It is required for registered options principals and involves knowledge of options regulations, trading strategies, and risk management. The license allows professionals to ensure adherence to industry rules and support options-related operations.
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Finra Series 4 jobs near you
Infographic showing various Finra Series 4 job openings in the United States as of July 2026, with employment types broken down into 100% Full Time. Highlights an 96% In-person, and 4% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Compliance Officer & AML Analyst

AGC Consulting

PR • On-site

Full-time

Posted 9 days ago

Job description

Position Summary

The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance Officers. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.

Key Responsibilities

Compliance Monitoring & Support

  • Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, state regulations, etc.)
  • Perform FINRA Branch Office Inspections
  • 3120/3130 and 206(4)-7 annual testing for FINRA and SEC
  • Manage the Firm’s continuing education program for Registered Persons.
  • Review and Approval of customer new accounts, AML/KYC, ongoing monitoring of trading activity, and Regulation Best Interest compliance.
  • Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
  • Advisory Testing Reviews
  • Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
  • Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
  • Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
  • Support documentation of disclosures, suitability reviews, and client communications
  • Compile data for monthly and quarterly compliance reports
  • Support the Compliance Department in preparing presentations and memos
  • Respond to routine compliance inquiries from staff and registered representatives
  • Help draft internal communications regarding policy updates and regulatory changes

Qualifications and Skills

  • FINRA Series 7 certification is required.
  • FINRA Series 24 certification is also required or ability to obtain within 3 months of hire. Series 4 and 79 a plus.
  • Education: Bachelor’s degree in Finance, Business Administration, or related field
  • Experience: 4-5 years in financial services compliance or operations
  • Familiarity with FINRA, SEC, and AML regulations
  • Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
  • Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
  • Strong organizational and analytical skills
  • Proficiency in Microsoft Office Suite and compliance platforms
  • Bilingual (English/Spanish) preferred
  • Lexis Nexis

Work Environment

This role is based in a professional securities office in Guaynabo, Puerto Rico. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.

Equal Employment Opportunity Statement

We are an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.