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Varsity Tutors

SIE Tutor

Greensboro, NC · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... Familiar with SIE examination content outline and common challenges such as distinguishing between ...

Varsity Tutors

SIE Tutor

Roswell, GA · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... Familiar with SIE examination content outline and common challenges such as distinguishing between ...

Varsity Tutors

SIE Tutor

Mckinney, TX · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... Familiar with SIE examination content outline and common challenges such as distinguishing between ...

Varsity Tutors

SIE Tutor

Harrisburg, PA · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... Familiar with SIE examination content outline and common challenges such as distinguishing between ...

Varsity Tutors

SIE Tutor

Johns Creek, GA · Remote

$40/hr

... and FINRA regulations while preparing candidates for the Securities Industry Essentials ... Familiar with SIE examination content outline and common challenges such as distinguishing between ...

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How much do finra sie jobs pay per hour?

As of Jun 20, 2026, the average hourly pay for finra sie in the United States is $31.96, according to ZipRecruiter salary data. Most workers in this role earn between $20.67 and $34.38 per hour, depending on experience, location, and employer.

What jobs pay $10,000 a month without a degree?

In the financial industry, roles such as financial advisors or insurance agents can earn $10,000 or more monthly through commissions and client fees, often without requiring a college degree but needing licenses like the Series 7 or 63. Additionally, certain sales positions, real estate brokers, or skilled trades like commercial pilots may reach this income level with experience and certifications. Success in these roles typically depends on performance, networking, and industry knowledge.

What are the key skills and qualifications needed to thrive as a FINRA SIE-certified professional, and why are they important?

To thrive as a FINRA SIE-certified professional, you need foundational knowledge of the securities industry, including basic concepts such as investment products, regulatory agencies, and market structure, typically evidenced by passing the SIE exam. Familiarity with financial software, compliance systems, and brokerage platforms is also valuable. Excellent communication, ethical judgment, and attention to detail are crucial soft skills for building trust and ensuring regulatory compliance. These competencies are vital for meeting industry standards, supporting client needs, and maintaining integrity in the financial services sector.

Does Sie help get a job?

The Securities Industry Essentials (SIE) exam is a prerequisite for many entry-level finance roles, including those in the securities industry. Passing the SIE demonstrates foundational knowledge and can improve job prospects, but securing a job also depends on additional factors such as experience, interviews, and employer requirements.

What is the FINRA SIE exam?

The FINRA Securities Industry Essentials (SIE) exam is an entry-level assessment designed for prospective securities industry professionals. It tests basic knowledge of the securities industry, including concepts such as types of products and risks, regulatory agencies, and prohibited practices. Passing the SIE is a prerequisite for taking more specialized qualification exams, but it does not qualify individuals to engage in securities business; sponsorship by a FINRA-member firm is not required to take the SIE. The SIE is ideal for anyone considering a career in financial services, as it demonstrates fundamental industry knowledge to potential employers.

What professions make $500,000 a year?

In the financial industry, roles such as senior financial advisors, hedge fund managers, investment bankers, and certain senior traders can earn $500,000 or more annually, often through a combination of base salary, bonuses, and commissions. These positions typically require advanced certifications like FINRA Series licenses, extensive experience, and strong client or market management skills.

What are some common challenges faced by individuals in FINRA SIE-related roles, and how can they be overcome?

Individuals in FINRA SIE-related roles often face challenges such as staying updated with evolving financial regulations, balancing compliance with client service, and grasping complex securities concepts. To overcome these, it’s important to commit to continuous learning through industry news, firm-sponsored training, and leveraging mentorship from experienced colleagues. Building strong communication skills and attention to detail will also help in navigating regulatory requirements and providing reliable support within the team.

Is FINRA Sie worth it?

The FINRA Securities Industry Essentials (SIE) exam is a foundational step for those pursuing a career in the securities industry, providing basic knowledge of investment products, markets, and regulatory requirements. Passing the SIE can enhance job prospects and is often a prerequisite for licensing exams like the Series 6 or 7, making it a valuable credential for entry-level roles in finance. However, its value depends on individual career goals and the specific employer requirements.
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Finra Sie jobs near you
Infographic showing various Finra Sie job openings in the United States as of June 2026, with employment types broken down into 4% Internship, 93% Full Time, and 3% Part Time. Highlights an 86% Physical, 5% Hybrid, and 9% Remote job distribution, with an average salary of $66,482 per year, or $32 per hour.
Compliance Analyst

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Posted 27 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

----------Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.Employment Type: FULL_TIME

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