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Full Time Finra Series 3 Jobs (NOW HIRING)

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

Three or more years of management within a financial services environment is preferred * Series 7 ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

Three or more years of management within a financial services environment is preferred * Series 7 ... Series 07 - FINRA, Series 09 - FINRA, Series 10 - FINRA, Series 63 - FINRA, Series 65 - FINRA ...

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Full Time Finra Series 3 information

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How much do full time finra series 3 jobs pay per hour?

As of Aug 8, 2026, the average hourly pay for full time finra series 3 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What is the difference between Full Time Finra Series 3 vs Full Time Finra Series 7?

AspectFull Time Finra Series 3Full Time Finra Series 7
CertificationsSeries 3Series 7
Work EnvironmentFutures and commodities tradingSecurities and investment products
Industry UsageFutures brokers, commodity firmsStockbrokers, investment firms

Full Time Finra Series 3 primarily focuses on futures and commodities trading, requiring the Series 3 license. In contrast, Full Time Finra Series 7 covers a broader range of securities, including stocks and bonds. Both roles involve client interaction and compliance but serve different markets within the financial industry.

What is a full time FINRA Series 3 professional?

A Full Time FINRA Series 3 professional is an individual who has passed the Series 3 exam administered by FINRA and works full time in the financial industry, specifically in roles involving the solicitation or sale of commodity futures contracts and options. The Series 3 license is required for those who wish to become associated persons of a National Futures Association (NFA) member firm and engage in commodities trading or advising. These professionals may work as brokers, traders, or advisors in futures and commodities markets, ensuring they comply with regulatory standards and provide informed service to clients.

What are some common challenges faced by professionals in full time FINRA Series 3 roles, and how can they be addressed?

Professionals in Full-Time FINRA Series 3 roles, such as futures and commodities brokers, often face challenges like navigating complex regulatory requirements and keeping up with rapidly changing market conditions. Staying compliant with both NFA and CFTC rules requires continuous education and attention to detail. Additionally, building and maintaining client relationships in a competitive environment can be demanding. Many successful Series 3 professionals address these challenges by regularly participating in industry training, leveraging compliance resources, and fostering strong communication within their teams and with clients.

What are the key skills and qualifications needed to thrive as a FINRA Series 3 professional?

To thrive as a FINRA Series 3 professional, you need deep knowledge of commodities and futures markets, strong analytical skills, and must pass the National Commodities Futures Exam (Series 3). Familiarity with trading platforms, compliance software, and regulatory reporting systems is essential. Outstanding interpersonal skills, attention to detail, and ethical judgment help you build trust with clients and navigate complex regulations. These skills and qualifications are vital for ensuring legal compliance, effective risk management, and successful client relationships in the commodities trading industry.

What can I do with a full time FINRA Series 3 license?

A full-time FINRA Series 3 license qualifies individuals to work as commodities futures representatives, trading and selling futures contracts, options, and retail off-exchange forex. It is often required for roles in commodities brokerage firms, trading firms, and financial institutions involved in futures markets. The license demonstrates knowledge of futures trading regulations, risk management, and market analysis.
What cities are hiring for Full Time Finra Series 3 jobs? Cities with the most Full Time Finra Series 3 job openings:
What are the most commonly searched types of Finra Series 3 jobs? The most popular types of Finra Series 3 jobs are:
What states have the most Full Time Finra Series 3 jobs? States with the most job openings for Full Time Finra Series 3 jobs include:
Full Time Finra Series 3 jobs near you

Supervisor BD/RIA (Series 7&24)

San Blas Securities

Chicago, IL • On-site

$65K - $115K/yr

Full-time

Re-posted yesterday

Job description

About San Blas Securities:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.
We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Competitive Compensation + bonus based on experience.  $80 - $100K
Responsibilities include:
  • Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
  • Manage Firm’s Onboarding Training Program for compliance with new hires
    • Schedule new hire training
    • Assist in administering firm annual training and advisor attestations
    • Schedule targeted training as required
  • Foster a culture of compliance
  • Document supervisory activities
  • Review advisors purchase and sales blotter
  • Review advisors communications to (and from) clients
  • Review/report customer complaints to CCO
  • Assist in conducting Branch Exams
  • Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
Qualifications
  • Bachelor’s degree or experience equivalent
  • FINRA Series 7 and FINRA Series 24 required
  • 3 – 5 years relevant experience at RIA and BD or industry regulator
  • Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
  • Familiarity with RBC and Schwab back-office a plus

 

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