Supervision Specialist
Dallas, TX · Hybrid
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) 3+ years of progressive securities industry experience , including significant compliance and ...
Supervision Specialist
Dallas, TX · Hybrid
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) 3+ years of progressive securities industry experience , including significant compliance and ...
Supervision Specialist
Dallas, TX · Hybrid
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) 3+ years of progressive securities industry experience , including significant compliance and ...
Supervision Specialist
Dallas, TX · Hybrid
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) 3+ years of progressive securities industry experience , including significant compliance and ...
Supervision Specialist
Dallas, TX · On-site
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) • 3+ years of progressive securities industry experience , including significant compliance and ...
Supervision Specialist
Dallas, TX · On-site
... FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held) • 3+ years of progressive securities industry experience , including significant compliance and ...
Regional Supervision Manager
Scottsdale, AZ · On-site
$60 - $80/hr
FINRA Series 4 and/or 53 (or ability to obtain at a later date). #J-18808-Ljbffr
Regional Supervision Manager
Scottsdale, AZ · On-site
$60 - $80/hr
FINRA Series 4 and/or 53 (or ability to obtain at a later date). #J-18808-Ljbffr
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.
Managing Director BrokerDealer Services (Town of Smithtown)
Commack, 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.
Managing Director BrokerDealer Services (Town of Smithtown)
Commack, 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.
Wealth Regional Supervisor
Atlanta, GA · On-site
$100 - $125/hr
FINRA Series 4. Benefits (Brief) All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, including medical, dental, vision, life ...
Wealth Regional Supervisor
Atlanta, GA · On-site
$100 - $125/hr
FINRA Series 4. Benefits (Brief) All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, including medical, dental, vision, life ...
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 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 ...
Regional Supervision Manager
La Vista, NE · 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
La Vista, NE · 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
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
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
Risk Management Consultant
Springfield, MA · On-site
FINRA Series 7 and 24 required at time of application * 4+ years in Compliance/supervisory roles supporting a broker dealer/investment advisor including brokerage products, program policies and ...
Risk Management Consultant
Springfield, MA · On-site
FINRA Series 7 and 24 required at time of application * 4+ years in Compliance/supervisory roles supporting a broker dealer/investment advisor including brokerage products, program policies and ...
Regional Supervision Manager
Oakdale, MN · 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
Oakdale, MN · 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
Saint Petersburg, FL · 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
Saint Petersburg, FL · 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
La Vista, NE · 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
La Vista, NE · 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
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
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 Sep 8, 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.
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Job description
At Cetera, we strive for continuous improvement and operational excellence. Our corporate team plays a critical role in supporting the firm's supervisory, compliance, and risk management frameworks. We are seeking a Supervision Specialist to provide principal oversight, can act as a subject matter expert, and support supervisory leadership while operating in a fastpaced, highly regulated environment.Â
This is a hybrid role, based in one of Cetera's office location, Dallas, TXÂ
What You Will DoÂ
The Supervision Specialist serves as a principal responsible for complex supervision functions, leadership support, and advanced risk oversight, including but not limited to:Â
Perform principal review and supervision of securities and direct business transactions across a complex book of businessÂ
Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activityÂ
Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectationsÂ
Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviewsÂ
Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutionsÂ
Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriateÂ
Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiativesÂ
Promote a strong culture of compliance, accountability, and risk awareness across the fieldÂ
What You Need To HaveÂ
Bachelor's degree requiredÂ
 FINRA Series 7, 24, and 63 requiredÂ
 FINRA Series 65 or 66 requiredÂ
 FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held)Â
 3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilitiesÂ
 3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industryÂ
Working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory productsÂ
Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practicesÂ
Strong criticalthinking, decisionmaking, and riskassessment skillsÂ
Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulatorsÂ
Demonstrated ability to operate independently in a fastpaced, timesensitive, supervisory environmentÂ
What Is Nice To HaveÂ
Additional FINRA licenses or industry certificationsÂ
Insurance licensesÂ
Prior independent brokerdealer experienceÂ
Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce and DocupaceÂ
Experience supporting M&A, region growth efforts, complex supervision matters, or firmwide initiativesÂ
The base salary range for this role in Dallas, TX is $75,000 - $95,000 plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.