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Finra Series 4 Jobs (NOW HIRING)

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 ...

$100 - $140/hr

FINRA Series 4, 7, 24, 53 and 63 #J-18808-Ljbffr

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Registered Principal

Jacksonville, FL · Hybrid

$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 ...

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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 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?

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 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:

Infographic showing various Finra Series 4 job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 33% In-person, and 67% Hybrid job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Director - FINRA Securities Registration and Licensing

Lincoln Financial

Radnor, PA • On-site, Remote

Full-time

Medical, Retirement, PTO

Posted 15 days ago


Lincoln Financial rating

7.4

Company rating: 7.4 out of 10

Based on 73 frontline employees who took The Breakroom Quiz

230th of 310 rated insurance


Job description

Alternate Locations: US Northeast; US Midwest; US Southeast; Work from Home

 Work Arrangement:

Remote : Work at home employee residing outside of a commutable distance to an office location.

Relocation assistance:  is not available for this opportunity.

Requisition #: 76406

The Role at a Glance

The Director - FINRA Securities Registration and Licensing will perform and deliver on routine assignments/projects while simultaneously leveraging and applying knowledge of their assigned area(s) of responsibility. They will serve as subject matter expert on licensing and securities being the single point of contact.

What you'll be doing
  • Lead, develop, and mentor a team responsible for registration, licensing, and regulatory administration activities.
  • Establish priorities, objectives, and performance expectations that align with organizational goals.
  • Foster a culture of accountability, continuous improvement, collaboration, and service excellence.
  • Support talent development through coaching, feedback, training, and career development opportunities.
  • Allocate resources effectively to ensure timely and accurate execution of operational responsibilities.
  • Direct all aspects of the broker-dealer's registration and licensing program, ensuring compliance with FINRA, SEC, state securities, and state insurance requirements.
  • Oversee the administration of Form U4, Form U5, amendments, disclosures, registrations, and terminations.
  • Manage branch office registrations, notice filings, and related regulatory requirements.
  • Ensure the accuracy, completeness, and integrity of registration and licensing records maintained through FINRA systems and related platforms.
  • Provide guidance on licensing, registration, disclosure, and regulatory requirements impacting registered representatives and business operations.
  • Identify, assess, and mitigate regulatory and operational risks within the registration and licensing program.
  • Develop, maintain, and enhance policies, procedures, and controls supporting regulatory compliance.
  • Monitor regulatory developments and evaluate the impact of new or changing requirements on business practices and operational processes.
  • Escalate significant risk, compliance, or regulatory concerns to senior leadership as appropriate.
  • Prepare executive reporting, metrics, and analysis related to registration, licensing, regulatory examinations, and operational performance.
  • Serve as a primary contact for FINRA, SEC, state regulators, internal audit, and compliance reviews involving registration and licensing activities.
  • Lead regulatory examinations, audits, and inquiries by coordinating responses, producing documentation, and managing remediation activities.
  • Partner with Compliance, Legal, Risk, and business leaders to ensure timely and accurate responses to regulatory requests.
  • Track and resolve examination findings, audit observations, and corrective action plans.
  • Partner with field leaders, sales leaders, recruiting teams, HR, and Compliance to support advisor onboarding, transitions, and offboarding activities.
  • Advise stakeholders on disclosure matters, registration requirements, licensing strategies, and regulatory considerations.
  • Support business initiatives by assessing registration and licensing impacts and recommending compliant solutions.
  • Build and maintain effective relationships across the organization to promote transparency, efficiency, and regulatory compliance.
  • Lead continuous improvement initiatives to enhance efficiency, scalability, controls, and user experience.
  • Oversee registration-related technology platforms, vendor relationships, entitlement administration processes, and system enhancements.
  • Monitor operational performance through key metrics, trend analysis, and reporting.
  • Drive process improvements that reduce risk, improve service delivery, and support organizational growth.
What we're looking for

Must-Haves

  • 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) in Business Information Technology (Minimum Required)
  • 5 - 7+ Years experience in compliance that directly aligns with the specific responsibilities for this position (Required)
  • Strong understanding and experience in licensing and securities
  • FINRA SIE and FINRA Series 6 or 7 required at time of hire
  • FINRA Series 63 obtained within 120 days of start date
  • Series 24 or Series 26 obtained within 90 days of start date

 

TRAVEL REQUIREMENTS

Travel Type: National Domestic

Travel Amount: up to 5%

Application Deadline

What's it like to work here?

At Lincoln Financial, we love what we do. We make meaningful contributions each and every day to empower our customers to take charge of their lives. Working alongside dedicated and talented colleagues, we build fulfilling careers and stronger communities through a company that values our unique perspectives, insights and contributions and invests in programs that empower each of us to take charge of our own future. 

What's in it for you:

  • Clearly defined career tracks and job levels, along with associated behaviors for each of Lincoln's core values and leadership attributes

  • Leadership development and virtual training opportunities

  • PTO/parental leave

  • Competitive 401K and employee benefits

  • Free financial counseling, health coaching and employee assistance program

  • Tuition assistance program

  • Work arrangements that work for you

  • Effective productivity/technology tools and training

The pay range for this position is $96,900 - $176,200 with anticipated pay for new hires between the minimum and midpoint of the range and could vary above and below the listed range as permitted by applicable law. Pay is based on non-discriminatory factors including but not limited to work experience, education, location, licensure requirements, proficiency and qualifications required for the role. The base pay is just one component of Lincoln's total rewards package for employees.  In addition, the role may be eligible for the Annual Incentive Program, which is discretionary and based on the performance of the company, business unit and individual.  Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package.

About The Company

Lincoln Financial (NYSE: LNC) helps people to confidently plan for their version of a successful future. We focus on identifying a clear path to financial security, with products including annuities, life insurance, group protection, and retirement plan services. 

With our 120-year track record of expertise and integrity, millions of customers trust our solutions and service to help put their goals in reach. 

Lincoln Financial Distributors, a broker-dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors, and their respective employees, representatives and/or insurance agents do not provide tax, accounting or legal advice. 

Lincoln is committed to creating an inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. 

Follow us on Facebook, X, LinkedIn, Instagram, and YouTube. For the latest company news, visit our newsroom. 

Be Aware of Fraudulent Recruiting Activities

If you are interested in a career at Lincoln, we encourage you to review our current openings and apply on our website. Lincoln values the privacy and security of every applicant and urges all applicants to diligently protect their sensitive personal information from scams targeting job seekers. These scams can take many forms including fake employment applications, bogus interviews and falsified offer letters.

Lincoln will not ask applicants to provide their social security numbers, date of birth, bank account information or other sensitive information in job applications. Additionally, our recruiters do not communicate with applicants through free e-mail accounts (Gmail, Yahoo, Hotmail) or conduct interviews utilizing video chat rooms. We will never ask applicants to provide payment during the hiring process or extend an offer without conducting a phone, live video or in-person interview.  Please contact Lincoln's fraud team at fraudhotline@lfg.com if you encounter a recruiter or see a job opportunity that seems suspicious.

Additional Information

This position may be subject to Lincoln's Political Contribution Policy.  An offer of employment may be contingent upon disclosing to Lincoln the details of certain political contributions. Lincoln may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Lincoln's current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.

Any unsolicited resumes or candidate profiles submitted through our web site or to personal e-mail accounts of employees of Lincoln Financial are considered property of Lincoln Financial and are not subject to payment of agency fees.

Lincoln Financial ("Lincoln" or "the Company") is an Equal Opportunity employer and, as such, is committed in policy and practice to recruit, hire, compensate, train and promote, in all job classifications, without regard to race, color, religion, sex, age, national origin or disability. Opportunities throughout Lincoln are available to employees and applicants are evaluated on the basis of job qualifications. If you are a person with a disability that impedes your ability to express your interest for a position through our online application process, or require TTY/TDD assistance, contact us by calling (866) 922-6543.

This Employer Participates in E-Verify. See the E-Verify notices.

Este Empleador Participa en E-Verify. Ver el E-Verify avisos. 


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About Lincoln Financial

Sourced by ZipRecruiter

Lincoln Financial Group, a Fortune 200 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Our core business areas - Life Insurance, Annuities, Retirement Plan Services and Group Protection - focus on supporting, preserving and enhancing over 17 million customer's lifestyles and retirement outcomes. Headquartered in Radnor, Pennsylvania, Lincoln Financial Group is the marketing name for Lincoln National Corporation (NYSE: LNC) and its affiliates. The company had $324 billion in end-of-period account values as of June 30, 2021. Ranked one of the Best Large Employers in America and Best Employers for Women by Forbes magazine as well as one of Newsweek's Most Responsible Companies, Lincoln Financial Group makes a serious investment in our employees' futures through a broad range of wealth accumulation and protection plans, health and wellness programs, and career development resources designed to help each individual reach their personal and professional goals.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Radnor, PA, US

Year founded

1905