$21.49 - $35.81/hr
FINRA Series 99 (or ability to obtain) preferred Education and Experience Required: Associate's degree, or in lieu of a degree, a combined minimum of 2 years' higher education and/or work experience ...
$21.49 - $35.81/hr
FINRA Series 99 (or ability to obtain) preferred Education and Experience Required: Associate's degree, or in lieu of a degree, a combined minimum of 2 years' higher education and/or work experience ...
Atlanta, GA · On-site
FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take ...
Atlanta, GA · On-site
FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take ...
FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take ...
FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take ...
Pittsford, NY · On-site
$21.49 - $35.81/hr
FINRA Series 99 (or ability to obtain) preferred Education and Experience Required: Associate's degree, or in lieu of a degree, a combined minimum of 2 years' higher education and/or work experience ...
Pittsford, NY · On-site
$21.49 - $35.81/hr
FINRA Series 99 (or ability to obtain) preferred Education and Experience Required: Associate's degree, or in lieu of a degree, a combined minimum of 2 years' higher education and/or work experience ...
Miami, FL · On-site
FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...
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Miami, FL · On-site
FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...
New York, NY · On-site
$100K/yr
FINRA Series 99 preferred * Ability to work on-site in New York (5 days/week initially, transitioning to hybrid after training)
New York, NY · On-site
$100K/yr
FINRA Series 99 preferred * Ability to work on-site in New York (5 days/week initially, transitioning to hybrid after training)
Miami, FL · On-site
FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...
Quick apply
Miami, FL · On-site
FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...
Chicago, IL · On-site
$95K - $100K/yr
FINRA Series 99, required to complete within 60 days of employment To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m. Our specialized recruiting professionals apply ...
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Chicago, IL · On-site
$95K - $100K/yr
FINRA Series 99, required to complete within 60 days of employment To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m. Our specialized recruiting professionals apply ...
PNCWM Operations - FINRA Series 99 required. PNCWM Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents department within ...
PNCWM Operations - FINRA Series 99 required. PNCWM Product - FINRA Series 7 required. In addition, a combination of the following licenses will be required based on the incumbents department within ...
Dallas, TX · On-site
$84K - $105K/yr
FINRA Series 99 (or ability to obtain in 90 days) * Expert knowledge with DTC, NSCC, Obligation Warehouse, SMART Track, and other DTCC suite applications * Settlement, buy-in, fail control, and/or ...
Dallas, TX · On-site
$84K - $105K/yr
FINRA Series 99 (or ability to obtain in 90 days) * Expert knowledge with DTC, NSCC, Obligation Warehouse, SMART Track, and other DTCC suite applications * Settlement, buy-in, fail control, and/or ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Jericho, NY · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Jericho, NY · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
Dallas, TX · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Dallas, TX · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Boston, MA · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Boston, MA · On-site
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint. * Ability to obtain ...
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint. * Ability to obtain ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
$10.10 - $12.89
3% of jobs
$12.89 - $15.69
12% of jobs
$16.90 is the 25th percentile. Wages below this are outliers.
$15.69 - $18.49
23% of jobs
The median wage is $19.83 / hr.
$18.49 - $21.28
24% of jobs
$23.58 is the 75th percentile. Wages above this are outliers.
$21.28 - $24.08
15% of jobs
$24.08 - $26.88
10% of jobs
$26.88 - $29.68
6% of jobs
$29.68 - $32.47
2% of jobs
$32.47 - $35.27
2% of jobs
$35.27 - $38.07
1% of jobs
$38.07 - $40.87
1% of jobs
$10
$22
$40
To thrive in a FINRA Series 99 role, you need strong knowledge of brokerage operations, financial regulations, and compliance processes, supported by successful completion of the FINRA Series 99 Operations Professional exam. Familiarity with industry-specific regulatory platforms, trade settlement systems, and compliance tracking tools is essential for daily operations. Attention to detail, ethical judgment, and the ability to communicate effectively with cross-functional teams are valuable soft skills. These qualifications are critical for managing risk and ensuring a firm's adherence to complex financial regulations and internal policies.
A FINRA Series 99 job typically involves working in the financial industry in an operations or back-office role. Professionals with this license ensure compliance with financial regulations, manage trade settlements, handle account management, and oversee risk controls. Series 99 holders usually work in brokerage firms, investment banks, or financial institutions. The exam, administered by FINRA, assesses knowledge of securities industry regulations, ethics, and operational procedures. Passing the Series 99 is required for individuals performing essential supervisory and support functions within a financial firm.
In a FINRA Series 99 Operations Professional role, your daily responsibilities often include monitoring and reconciling trade settlements, ensuring compliance with industry regulations, and maintaining accurate transaction records. You may work closely with compliance officers, trading teams, and client service representatives to resolve discrepancies and implement process improvements. Routine tasks also involve preparing regulatory filings, assisting with audits, and actively participating in internal controls testing. This role requires you to balance operational efficiency with strict adherence to compliance requirements, making attention to detail and collaboration essential.
$21.49 - $35.81/hr
Full-time
Posted 5 days ago
7.8
Based on 182 frontline employees who took The Breakroom Quiz
71st of 144 rated banks
Launch your career in wealth management with M&T Bank. We're seeking a Client Relationship Associate (Sales Assistant) to support Financial Advisors while helping grow client relationships across an assigned branch or region. In this role, you'll partner closely with Advisors to deliver a seamless client experience-managing follow-ups, supporting onboarding, and preparing for client engagements. This is an opportunity to build foundational experience, contribute to business development efforts, and grow within a collaborative, high-performing team.
Primary Responsibilities:
Partner with Financial Advisors to support client relationships and deliver a seamless client experience across an assigned branch or region
Manage client follow-ups, servicing requests, and day-to-day communication with existing and prospective clients
Prepare for client meetings by coordinating schedules, gathering materials, and supporting onboarding activities
Assist with marketing materials, events, and seminars to support business development efforts
Track sales and referral activity to provide visibility into performance
Review and process documentation, ensuring accuracy and timely submission
Support trade processing, audit, compliance, and risk management activities
What You'll Bring
Client-first mindset with strong organizational and communication skills
Ability to manage multiple priorities in a fast-paced environment
Experience in sales support, administration, or client service preferred
FINRA Series 99 (or ability to obtain) preferred
Education and Experience Required:
Associate's degree, or in lieu of a degree, a combined minimum of 2 years' higher education and/or work experience
Education and Experience Preferred:
Minimum of 1 years' sales and/or sales administration experience
FINRA Series 99 license
M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $21.49 - $35.81 Hourly (USD). The successful candidate's particular combination of knowledge, skills, and experience will inform their specific compensation.LocationPittsford, New York, United States of America
Sourced by ZipRecruiter
Finance and insurance
10,000+ Employees
Buffalo, NY, US
1856
