... FINRA Series 4 and/or 53 (or willingness to obtain) Bachelors degree preferred; equivalent experience considered Compensation & Benefits Competitive total compensation package including medical ...
Quick apply
... FINRA Series 4 and/or 53 (or willingness to obtain) Bachelors degree preferred; equivalent experience considered Compensation & Benefits Competitive total compensation package including medical ...
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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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 ...
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 ...
Quick apply
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 ...
Head of Institutional Derivatives Sales
Chicago, IL · On-site +1
$300K/yr
Active FINRA Series 7, 57 and 63 licenses required; Series 4 or 24 preferred COMPENSATION * Salary Range: $200-300k, plus a discretionary bonus with upside potential based on the individual ...
Head of Institutional Derivatives Sales
Chicago, IL · On-site +1
$300K/yr
Active FINRA Series 7, 57 and 63 licenses required; Series 4 or 24 preferred COMPENSATION * Salary Range: $200-300k, plus a discretionary bonus with upside potential based on the individual ...
Broker-Dealer 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.
Quick apply
Broker-Dealer 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.
Broker-Dealer 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.
Quick apply
Broker-Dealer 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.
Broker-Dealer 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.
Broker-Dealer 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.
Broker-Dealer 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.
Quick apply
Broker-Dealer 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.
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
Regional Supervision Manager
Scottsdale, AZ · On-site
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Scottsdale, AZ · On-site
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Petersburg, VA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Regional Supervision Manager
Petersburg, VA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Regional Supervision Manager
La Vista, NE · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
La Vista, NE · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Broker Dealer Compliance Officer Remote
Smithtown, NY · On-site +1
$40 - $60/hr
The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses ... Series 4 - Registered Options * Series 24 - General Securities * Series 79 - Investment Banking CXG ...
Broker Dealer Compliance Officer Remote
Smithtown, NY · On-site +1
$40 - $60/hr
The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses ... Series 4 - Registered Options * Series 24 - General Securities * Series 79 - Investment Banking CXG ...
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
What we're looking for Must-Haves * 4 Year/Bachelor's degree or equivalent work experience (4 years ... Series 24 or Series 26 obtained within 90 days of start date TRAVEL REQUIREMENTS Travel Type:
Regional Supervision Manager
Atlanta, GA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Regional Supervision Manager
Atlanta, GA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Regional Supervision Manager
Atlanta, GA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Atlanta, GA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Petersburg, VA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Petersburg, VA · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Regional Supervision Manager
Scottsdale, AZ · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Regional Supervision Manager
Scottsdale, AZ · Hybrid
$70K - $80K/yr
FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
Registered Principal
Jacksonville, FL · On-site
$75K - $110K/yr
This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series ... Series 7, 24, (Series 4 optional) * Strong risk mindset, but also curious to engage with leadership ...
Registered Principal
Jacksonville, FL · On-site
$75K - $110K/yr
This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series ... Series 7, 24, (Series 4 optional) * Strong risk mindset, but also curious to engage with leadership ...
Finra Series 4 information
See salary details
$11.30 - $14.42
12% of jobs
$14.42 - $17.55
12% of jobs
$18.46 is the 25th percentile. Wages below this are outliers.
$17.55 - $20.67
6% of jobs
$20.67 - $23.80
0% of jobs
$23.80 - $26.92
17% of jobs
The median wage is $27.24 / hr.
$26.92 - $30.05
36% of jobs
$30.05 - $33.17
1% of jobs
$33.17 - $36.30
0% of jobs
$36.30 - $39.42
8% of jobs
$39.42 - $42.55
5% of jobs
$42.55 - $45.67
3% of jobs
$11
$27
$45
How much do finra series 4 jobs pay per hour?
As of Aug 19, 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 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 the key skills and qualifications needed to thrive as a FINRA Series 4 Registered Options Principal?
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.
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 is the difference between Finra Series 4 vs Finra Series 7?
| Aspect | Finra Series 4 | Finra Series 7 |
|---|---|---|
| Certifications Required | Yes | Yes |
| Work Environment | Broker-dealer firms, regulatory roles | General securities sales, trading, and investment advice |
| Industry Usage | Primarily for registered options and futures representatives | Broader securities and investment products |
| Common Search Intent | Understanding licensing for options and futures | Licensing 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 is a FINRA Series 4?
The FINRA Series 4 is a licensing exam required for individuals who supervise or conduct securities options and futures activities, such as registered options principals. Passing this exam qualifies professionals to oversee options trading and related activities within brokerage firms. It typically involves knowledge of regulations, trading strategies, and compliance procedures.
More about Finra Series 4 jobs
What cities are hiring for Finra Series 4 jobs?
Cities with the most Finra Series 4 job openings:
What states have the most Finra Series 4 jobs?
States with the most job openings for Finra Series 4 jobs include:
What job categories do people searching Finra Series 4 jobs look for?
The top searched job categories for Finra Series 4 jobs are:
Job description
TRC is seeking a Regional Supervision Manager to join one of our wealth management clients of an exciting direct hire position!
Hybrid (4 Days In-Office) based out of Atlanta, GA
Full-Time
Full-Time
Role Overview
The Regional Supervision Manager (RSM) oversees the supervision and review of brokerage, advisory, and directly held transactions to ensure compliance with firm policies, regulatory standards, and clients best interests. This role serves as a key liaison between Financial Professionals, Field Supervisors, Compliance, and Home Office teams, helping protect clients, the firm, and supervisory partners.
Key Responsibilities
Review brokerage, advisory, and direct transactions to ensure suitability, best interest, and policy adherence
Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals
Evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements
Monitor supervisory reports and enforce internal controls aligned with FINRA and SEC regulations
Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions
Serve as the primary home office contact for supervision-related inquiries
Support onboarding, education, and ongoing training of Financial Professionals and support staff
Collaborate cross-functionally with Supervision, Compliance, and other departments on firm initiatives and regulatory projects
Required Qualifications
Minimum 3 years of experience conducting suitability or best interest transaction reviews within financial services
Active FINRA Series 7, 24, and 63/65 or 66
Strong knowledge of FINRA and SEC regulations
Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment
Excellent analytical, organizational, and problem-solving skills
Preferred Qualifications
FINRA Series 4 and/or 53 (or willingness to obtain)
Bachelors degree preferred; equivalent experience considered
Compensation & Benefits
Competitive total compensation package including medical, dental, vision, 401(k), paid time off, volunteer days, and more.