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Finra Series 99 Jobs (NOW HIRING)

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...

Altruist

Senior Settlements Analyst

Dallas, TX

$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 ...

FINRA

Senior Cyber Engagements Lead

Boston, MA

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

Senior Cyber Engagements Lead

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

Senior Cyber Engagements Lead

Jersey City, NJ · 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

Senior Cyber Engagements Lead

Boca Raton, FL · 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

Senior Cyber Engagements Lead

Washington, DC

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 ...

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How much do finra series 99 jobs pay per hour?

As of Jul 27, 2026, the average hourly pay for finra series 99 in the United States is $22.40, according to ZipRecruiter salary data. Most workers in this role earn between $17.07 and $25.00 per hour, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive in the Finra Series 99 position, and why are they important?

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.

What is a Finra Series 99 job?

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.

What are some typical day-to-day responsibilities of someone in a FINRA Series 99 Operations Professional position?

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.

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What are the most commonly searched types of Finra Series 99 jobs? The most popular types of Finra Series 99 jobs are:
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Finra Series 99 jobs near you
Infographic showing various Finra Series 99 job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 86% Full Time, 11% Part Time, and 2% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution, with an average salary of $46,598 per year, or $22.4 per hour.
Compliance Analyst

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Posted 4 days ago

Job description

Overview
Job Purpose
Intercontinental Exchange, Inc. (ICE), a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance related functions for ICE Bonds Securities Corporation ("ICE Bonds"), an SEC-registered broker dealer and a member of FINRA and the MSRB which operates multiple fixed income ATSs and offers related broker dealer services to its institutional customer base.
The Compliance Analyst will be responsible for the review of electronic communications to ensure compliance with regulations from multiple regulators. In addition, the Compliance Analyst will be responsible for various compliance functions related to reporting, onboarding and registration.
The Compliance Analyst must be analytical, demonstrate professional accountability, and communicate clearly and concisely. In order to succeed in this role, the candidate will need to possess the ability to learn quickly and be willing to acquire additional responsibilities.
This position will report to the Chief Compliance Officer of ICE Bonds and responsibilities include, but are not limited to, the following:
Responsibilities
  • Monitor electronic communications of covered persons to ensure compliance with company policies and regulatory guidelines.
  • Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm's policies and procedures and applicable regulatory requirements.
  • Review and completion of various written supervisory procedures related to US broker dealer regulations.
  • 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.
  • Assist in the coordination of registration exams and employee registration with relevant regulator(s).
  • Manage continuing education for Associated Persons.
  • Participate in the preparation of regulatory reports/documents, as applicable.

Knowledge and Experience
  • Bachelor's Degree.
  • 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 and pass either the FINRA Series 7 or Series 99 within 6 months of employment;
  • Strong analytical and organizational skills with acute attention to detail.
  • Excellent verbal and written communication skills.
  • Self-motivated with ability to multi-task and work independently with confidential and sensitive information.
  • Ability to work effectively in a fast-paced, sometimes stressful environment.
  • Strong computer skills preferred in Microsoft Office: Word, PowerPoint & Excel.

Preferred Experience
  • Experience in a fixed income securities related business
  • FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99

#LI-HR1 #LI-ONSITE
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Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.

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