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Professional Finra Series 99 Jobs (NOW HIRING)

Insigneo Securities LLC

Operations Associate

Miami, FL · On-site

FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...

Insigneo Securities LLC

Operations Associate

Miami, FL · On-site

FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...

Soteria Reinsurance Ltd.

WI · On-site

$140 - $180/hr

FINRA Series 99 required; within 90 days of hire Department: The Operations and Services Group (OSG) Treasury - Cash Management Services division provides critical money movement services in support ...

Soteria Reinsurance Ltd.

$140 - $180/hr

FINRA Series 99 required; within 90 days of hire Department: The Operations and Services Group (OSG) Treasury - Cash Management Services division provides critical money movement services in support ...

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$31.5K

$98.9K

$207.5K

How much do professional finra series 99 jobs pay per year?

As of Sep 6, 2026, the average yearly pay for professional finra series 99 in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What is a professional FINRA Series 99?

A Professional FINRA Series 99, also known as an Operations Professional, is someone who has passed the FINRA Series 99 exam and is qualified to perform certain back-office and operational functions at a financial firm. The Series 99 license is required for individuals who handle customer accounts, trade settlements, or other critical operational responsibilities in broker-dealer organizations. This role ensures that firms comply with regulatory requirements and maintain the integrity of financial transactions. Earning the Series 99 demonstrates knowledge of industry regulations, ethics, and operational processes.

What are the key skills and qualifications needed to thrive as a professional FINRA Series 99?

To thrive as a Professional FINRA Series 99, you need a solid understanding of securities operations, compliance procedures, and risk management, supported by passing the Series 99 Operations Professional Exam. Familiarity with regulatory reporting systems, trade settlement software, and compliance monitoring tools is essential. Attention to detail, problem-solving abilities, and strong communication skills help professionals excel in this role. These competencies ensure regulatory compliance, accurate transaction processing, and effective coordination within financial organizations.

What are some typical challenges faced by professionals with the FINRA Series 99 license in their daily work?

Professionals holding the FINRA Series 99 license, typically Operations Professionals, often face challenges related to ensuring compliance with complex regulatory requirements and adapting to evolving industry standards. They must stay vigilant about process improvements, manage risk, and coordinate efficiently with front-office staff, IT teams, and compliance departments. Balancing the need for accuracy in operational tasks with time-sensitive deliverables is a common aspect of the role. Additionally, professionals may need to quickly learn new technologies or systems as firms modernize their operations.

What is the difference between Professional Finra Series 99 vs Professional Finra Series 7?

AspectProfessional Finra Series 99Professional Finra Series 7
CertificationsRequires Series 99 license, focused on operations and supervisionRequires Series 7 license, focused on securities sales and trading
Work EnvironmentBack-office, compliance, and supervisory roles within broker-dealersFront-office, sales, and trading roles in brokerage firms
Employer & Industry UsageUsed by broker-dealers for supervisory and operational rolesUsed by financial advisors and brokers for client interactions and sales

The Professional Finra Series 99 and Series 7 licenses serve different functions within the financial industry. Series 99 focuses on operational and supervisory roles, while Series 7 is geared toward securities sales and trading. Both are essential but cater to distinct job responsibilities and work environments.

What can you do with a professional finra series 99 license?

A Professional FINRA Series 99 license qualifies individuals to perform operations and customer service roles within brokerage firms, including back-office functions, account management, and compliance support. It is often required for roles such as operations representatives, client service associates, and branch support staff, and typically involves understanding securities regulations and firm procedures.
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Professional Finra Series 99 jobs near you
Infographic showing various Professional Finra Series 99 job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 73% Full Time, 22% Part Time, and 4% Contract. Highlights an 90% Physical, 1% Hybrid, and 9% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

$60 - $80/hr

Other

Re-posted 16 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:

  • 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

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

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