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Full Time Finra Series 27 Jobs (NOW HIRING)

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base Salary ... Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ...

CXG Holdings Inc

Broker-Dealer CEO

Smithtown, NY · On-site

$150K - $175K/yr

Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base Salary ... Additional FINRA licenses including Series 4, 27, 53, or 79. * RIA experience. * Experience with ...

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Full Time Finra Series 27 information

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$57.6K

$83.5K

How much do full time finra series 27 jobs pay per year?

As of Aug 12, 2026, the average yearly pay for full time finra series 27 in the United States is $57,604.00, according to ZipRecruiter salary data. Most workers in this role earn between $38,500.00 and $73,500.00 per year, depending on experience, location, and employer.

What is the difference between Full Time Finra Series 27 vs Full Time Finra Series 24?

AspectFull Time Finra Series 27Full Time Finra Series 24
Certifications RequiredSeries 27Series 24
Work EnvironmentFinancial firms, compliance departmentsFinancial firms, compliance departments
Job ResponsibilitiesSupervising and reviewing financial operations, managing complianceSupervising registered representatives, branch office supervision
Industry UsageRegulatory compliance, supervisory rolesBranch supervision, registered representative oversight

The Full Time Finra Series 27 and Series 24 roles both focus on compliance and supervision within financial firms. The Series 27 is more geared towards supervising financial operations and ensuring regulatory adherence, while the Series 24 primarily involves supervising registered representatives and branch offices. Both certifications are essential for compliance professionals, but they serve slightly different supervisory functions within the industry.

More about Full Time Finra Series 27 jobs
What cities are hiring for Full Time Finra Series 27 jobs? Cities with the most Full Time Finra Series 27 job openings:
What are the most commonly searched types of Finra Series 27 jobs? The most popular types of Finra Series 27 jobs are:
What states have the most Full Time Finra Series 27 jobs? States with the most job openings for Full Time Finra Series 27 jobs include:
What job categories do people searching Full Time Finra Series 27 jobs look for? The top searched job categories for Full Time Finra Series 27 jobs are:
Full Time Finra Series 27 jobs near you
Infographic showing various Full Time Finra Series 27 job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 97% In-person, and 3% Remote job distribution, with an average salary of $57,604 per year, or $27.7 per hour.

Assistant Vice President, Regulatory Accounting

Wedbush Securities

Los Angeles, CA • On-site

Full-time

Re-posted 13 days ago

Job description

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Our growing Accounting team is seeking an Assistant Vice President, Regulatory Accounting, to oversee and ensure financial regulatory compliance across multiple broker‑dealer entities.


Responsibilities include but are not limited to:

  • Oversee and manage regulatory accounting activities for newly created broker-dealer
  • Manage the preparation of Customer Reserve 15c3-3 and Net Capital 15c3-1 computations, FOCUS Reports, and other regulatory filings
  • Review and audit daily, weekly, monthly, quarterly, and annual Capital Reporting, Customer and PAB reserve computation
  • Audit and analyze Balance Sheet and P&L for regulatory filings
  • Manage relationships with regulators (FINRA and SEC) by analyzing, researching and responding to inquiries
  • Coordinate with Futures regulatory counterparts to ensure prompt and accurate responses to inquiries from Futures regulators (CFTC and CME)
  • Research, evaluate, and enhance written regulatory accounting policies and procedures to ensure accuracy and compliance
  • Lead and manage initiatives to implement regulatory accounting best practices and process improvements
  • Serve as a key liaison with internal and external financial and regulatory auditors
  • Partner cross‑functionally with departments across the firm to prepare regulatory filings and maintain ongoing regulatory compliance
  • Audit departmental data and documentation to validate completeness, adequacy, and accuracy
  • Train, mentor, and provide ongoing guidance to regulatory accounting staff
  • Perform other duties as required and assigned

  • Bachelor's degree required, preferably for Business or Economics with a concentration in Accounting or Finance
  • Minimum of 5 years of regulatory accounting and reporting experience within a broker-dealer environment
  • Extensive FINRA experience, including deep knowledge of Rules 15c3-1 and 15c3-3
  • FINRA Series 27 required, or willingness to obtain 
  • Proficiency with the Broadridge Processing System (BPS) for regulatory data processing preferred
  • Exceptionally detail-oriented with a strong focus on accuracy and compliance
  • Excellent communication and presentation skills, with the ability to engage effectively across departments and organizational levels
  • Strong analytical skills with the ability to interpret complex regulatory and financial information

Apply