ZipRecruiter

Log In

1

Finra Sie Jobs (NOW HIRING)

Jobtailor

Director, Client Delivery

Manhattan, NY · On-site

$150 - $230/hr

FINRA SIE and Series 7 required within 6 months of initial employment; Series 24 License required within 12 months of initial employment. Core Competencies Demonstrates expertise in client onboarding ...

Leland

FINRA Exams (Series 7 & SIE) Tutor

We're seeking an experienced FINRA exams tutor to work with candidates preparing for licensing exams including SIE, Series 7, Series 6, Series 63, Series 65, and Series 66. This role includes ...

next page

Showing results 1-20

All JobsFinra Sie Jobs

Finra Sie information

See salary details

$13

$31

$67

How much do finra sie jobs pay per hour?

As of Aug 13, 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 skills and qualifications are needed to thrive as a FINRA SIE-certified professional?

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 the Finra SIE help you get a job?

The FINRA Securities Industry Essentials (SIE) exam is a foundational test that demonstrates basic knowledge of the securities industry. Passing the SIE can improve your qualifications and is often a prerequisite for many entry-level finance roles, but it does not guarantee employment. Employers typically look for additional licenses, experience, and skills beyond the SIE when hiring.

What jobs can I get with my Finra SIE certification?

The FINRA SIE (Securities Industry Essentials) certification qualifies individuals for entry-level roles in the securities industry, such as securities sales assistant, customer service representative, or paraplanner. It demonstrates foundational knowledge of securities products, markets, and regulations, often serving as a prerequisite for roles requiring further licensing like Series 6 or 7. The certification helps candidates pursue careers in brokerage firms, investment advisory firms, or financial services companies.

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 are 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.
More about Finra Sie jobs
What cities are hiring for Finra Sie jobs? Cities with the most Finra Sie job openings:
What are the most commonly searched types of Finra Sie jobs? The most popular types of Finra Sie jobs are:
What states have the most Finra Sie jobs? States with the most job openings for Finra Sie jobs include:
What job categories do people searching Finra Sie jobs look for? The top searched job categories for Finra Sie jobs are:
Finra Sie jobs near you
Infographic showing various Finra Sie job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 40% In-person, 20% Hybrid, and 40% Remote job distribution, with an average salary of $66,482 per year, or $32 per hour.

Director, Client Delivery

Jobtailor

Manhattan, NY • On-site

$150 - $230/hr

Other

Posted 8 days ago

Job description

  • Develop and execute a comprehensive onboarding strategy for clients, ensuring alignment with Apex’s business objectives and industry best practices.
  • Lead, mentor, and manage members of the Client Onboarding team, fostering a high-performance culture focused on delivering exceptional service to institutional clients.
  • Serve as the senior point of contact for client firms during onboarding, providing executive-level support, guidance, and escalation management to resolve complex issues efficiently.
  • Build and maintain strategic relationships with clients, sales, relationship managers, service organizations, and internal onboarding teams to provide transparency and clarity throughout the onboarding journey.
  • Oversee critical partnerships and integrations with leading financial technology platforms, proactively addressing risks and removing barriers to timely onboarding.
  • Drive operational excellence by identifying process improvements, managing quality assurance initiatives, and leveraging technology to enhance workflow efficiency and data accuracy.
  • Provide regular reporting and executive dashboards to senior management, offering insights into pipeline activity, onboarding status, and client experience metrics.
  • Ensure compliance with regulatory requirements, internal controls, and industry standards in all onboarding operations.
Requirements
  • Bachelor’s degree in business administration, finance, or related field; advanced degree or relevant certifications preferred.
  • 10+ years of experience in client onboarding, relationship management, or implementation roles within financial services or brokerage environments.
  • 5+ years of experience as a people manager.
  • Deep knowledge of brokerage firm onboarding requirements, custodian transitions, and complex project management involving multiple technology vendors.
  • FINRA SIE and Series 7 required within 6 months of initial employment; Series 24 License required within 12 months of initial employment.
Core Competencies

Demonstrates expertise in client onboarding strategy development, relationship management, and operational excellence within financial services. Proficient in managing teams, ensuring compliance, and leveraging technology to enhance onboarding processes.

Highest-signal resume keywords
  • Client Onboarding Strategy Development
  • Team Leadership and Mentoring
  • Brokerage Firm Onboarding Requirements
  • FINRA SIE and Series 7 Certification
  • Complex Project Management
ATS Optimization Keywords Hard Skills
  • Client Onboarding
  • Relationship Management
  • Operational Excellence
  • Process Improvement
  • Quality Assurance
  • Data Accuracy
  • Executive Reporting
  • Pipeline Activity Management
  • Integration Management
  • Risk Management
Soft Skills
  • High-Performance Culture Development
  • Executive-Level Support
  • Communication
  • Problem Solving
  • Collaboration
Certifications & Qualifications
  • FINRA SIE
  • Series 7
  • Series 24
Industry Keywords
  • Financial Services
  • Brokerage
  • Custodian Transitions
  • Regulatory Compliance
  • Internal Controls
Tools & Technologies
  • Financial Technology Platforms
#J-18808-Ljbffr

Apply