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General Securities Principal Jobs (NOW HIRING)

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

QCP

Country Head / Head of Sales, US

New York, NY · On-site

Holds an active Series 24 license (General Securities Principal). * Prior experience in the digital assets space is a plus. * Proven capabilities in building strong relationships with clients and has ...

Cetera

Manager, Complex Product Supervision

Dallas, TX · Hybrid

FINRA Series 24 - General Securities Principal (Required) * FINRA Series 63 and/or 66 - Uniform Securities Agent/Investment Adviser (Preferred) * State Life and Health Insurance License (Preferred ...

New

Frost Bank

Wealth Sales Coach

Postoak, TX

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

Frost Bank

Wealth Sales Coach

Houston, TX · On-site

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

LPL Financial

Sr Regional Supervisory Principal

Tempe, AZ · Remote

$84K - $140K/yr

Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments ... Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant ...

The Atlantic District

General Agency Principal

MD · On-site

$220K - $250K/yr

... General Agency Principal to step in and help shape the future of our operations ... We are not just selling insurance; we are building a foundation of security for the people who ...

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General Securities Principal information

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$36.5K

$109.4K

$182K

How much do general securities principal jobs pay per year?

As of Sep 4, 2026, the average yearly pay for general securities principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What is a general securities principal?

A General Securities Principal supervises and manages the activities of registered representatives in a brokerage or investment firm. They ensure compliance with securities laws, firm policies, and industry regulations set by FINRA and the SEC. Their responsibilities include approving new accounts, overseeing trades, and managing sales practices. To become a General Securities Principal, individuals must typically pass the FINRA Series 24 exam and meet other licensing requirements.

What skills and qualifications are needed to thrive as a general securities principal?

To thrive as a General Securities Principal, you need a deep understanding of securities regulations, supervisory procedures, and compliance oversight, usually demonstrated by holding FINRA Series 24 or equivalent licenses. Proficiency with electronic compliance monitoring platforms, trade surveillance systems, and regulatory filing tools is important. Strong leadership, decision-making abilities, and effective communication skills help set standout professionals apart in this role. These competencies ensure the firm meets regulatory requirements, mitigates risk, and maintains operational integrity in a fast-paced financial environment.

What are common challenges faced by general securities principals, and how are they addressed?

General Securities Principals often navigate challenges such as staying current with evolving regulatory requirements, managing multiple supervisory responsibilities, and overseeing compliance across diverse business lines. To address these, firms typically provide ongoing regulatory training, robust compliance technology, and support from dedicated compliance and legal teams. Collaborating closely with registered representatives, compliance staff, and senior management is essential to resolve issues efficiently. Successful Principals proactively communicate updates, maintain meticulous documentation, and foster a culture of compliance within their teams. This collaborative and informed approach helps mitigate risks and contributes to the overall success of the financial institution.

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General Securities Principal jobs near you
Infographic showing various General Securities Principal job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 81% Full Time, 15% Part Time, 2% Contract, and 1% Nights. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Business analyst ONLY Contract to NJ, NY, PA

Tech Mirrors

Manhattan, NY • On-site

$110 - $170/hr

Other

Posted 3 days ago

New

Job description

Role: Business analyst

Location: New York. NY

Visa: H1,H4EAD,GC-EAD,GC,Citizens,
Mode: Hybrid – 3 days onsite
Duration: 6+ month contract
Local to NJ, NY, PA

Responsibilities:
  • Determine “as-is” vs. “to-be” data landscapes, identifying missing data fields, granularity issues, and data quality gaps for both reports.
  • Work with Finance Business partners to gain an understanding of our business and products.
  • Provide clear, actionable guidance to data architects and upstream systems on what specific data elements need to be sourced (e.g., transactional, counterparty, collateral, and balance sheet data).
  • Acknowledge and translate complex regulatory instructions from the Federal Reserve into clear business and functional requirement documents (BRD/FRD).
  • Develop detailed data mapping specifications from source systems to the Axiom operational data store (ODS) and consolidated data model.
Qualifications:
  • Bachelor’s degree in Computer Science, Information Technology, Finance, Accounting, or a related field.
  • Minimum of 10+ years of experience as a Business Analyst in a CIB.
  • Hands‑on experience navigating within AxiomSL (ControllerView).
  • Mandatory proven track record of at least one full lifecycle implementation of FR 2050a or FR Y-15 reports at a major banking institution.
  • Strong knowledge of financial products.
  • Proficiency in data analysis tools such as PowerBI, SQL Queries and working with large data sets.
  • Excellent communication and leadership skills, with the ability to drive a topic forward to completion.
  • Strong analytical and problem‑solving abilities, with a keen attention to detail.
Certificates, licenses, registrations (list of licenses required if Registered Rep)
  • SIE – Securities Industry Essentials
  • S79 – Investment Banking Representative
  • S7 – General Securities Representative
  • S63 – Uniform Securities Agent State Law
  • S14 – Compliance Officer
  • S99 – Operations Professional
  • S24 – General Securities Principal
  • CPA- Certified Public Accountant
  • S27 – Financial and Operations Principal
  • S57 – Securities Trader Representative
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