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Professional Finra Series 99 Jobs in Decatur, GA

AXA Advisors

Financial Professional

Atlanta, GA

As an AXA Advisors financial professional, you'll be part of a recognized, respected company that ... health licenses, FINRA Series 7 and 66 registrations. MBA, JD, CFP, CPA or ChFC, a plus.

Axa Advisors

Financial Professional

Atlanta, GA · On-site

As an AXA Advisors financial professional, you'll be part of a recognized, respected company that ... health licenses, FINRA Series 7 and 66 registrations. * MBA, JD, CFP ® , CPA or ChFC, a plus.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... Preferred Requirements: FINRA Series 4 and or/53 (could be obtained at a later date) Equal ...

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... Preferred Requirements: FINRA Series 4 and or/53 (could be obtained at a later date) Equal ...

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 4 and or/53 (could be obtained at a later date) #LI Equal Opportunity Employer Osaic ...

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

Osaic

Regional Supervision Manager

Atlanta, GA · Hybrid

$70K - $80K/yr

The Regional Supervision Manager will also assist in the review of Financial Professionals requests ... FINRA Series 7, Series 24 and Series 63/65 or 66 required * Understanding of relevant FINRA and SEC.

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All JobsProfessional Finra Series 99 JobsProfessional Finra Series 99 Jobs in Decatur, GA

Professional Finra Series 99 information

See Decatur, GA salary details

$30.8K

$96.6K

$202.6K

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

As of Jul 29, 2026, the average yearly pay for professional finra series 99 in Decatur, GA is $96,608.00, according to ZipRecruiter salary data. Most workers in this role earn between $60,000.00 and $112,300.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a Professional FINRA Series 99, and why are they important?

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 can I do with series 99?

The FINRA Series 99 license qualifies individuals to perform operations and branch office functions in the securities industry, such as client onboarding, account maintenance, and compliance tasks. It is often required for operations professionals working in brokerage firms and financial institutions. Holding this license can lead to roles in client service, back-office support, and regulatory compliance within financial firms.

Does series 99 require sponsorship?

The FINRA Series 99 exam does not require sponsorship to take, but candidates typically need sponsorship from a FINRA-member firm to work in a role that requires the license. Passing the exam is necessary for certain operational roles in brokerage firms, and sponsorship is often part of the employment process. Candidates should verify specific firm requirements and licensing regulations before scheduling the exam.

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 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 is the hardest FINRA licensing exam?

The FINRA Series 99 exam, required for professionals in operations and client services, is considered one of the more challenging FINRA licensing exams due to its comprehensive coverage of operational rules, procedures, and regulatory requirements. It typically requires thorough preparation and understanding of complex industry regulations.

How hard is the FINRA series 99?

The FINRA Series 99 exam for the Professional role is considered moderately challenging, requiring a solid understanding of operations, compliance, and regulatory procedures. Candidates typically prepare through dedicated study, practice exams, and review of FINRA's content outline to pass the exam successfully.
What job categories do people searching Professional Finra Series 99 jobs in Decatur, GA look for? The top searched job categories for Professional Finra Series 99 jobs in Decatur, GA are:
Professional Finra Series 99 jobs near you
Infographic showing various Professional Finra Series 99 job openings in Decatur, GA as of July 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $96,608 per year, or $46.4 per hour.

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Re-posted 6 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:
Responsibilities
  • 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

#LI-HR1 #LI-ONSITE
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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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