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Professional Finra Series 99 Jobs in Decatur, GA

Osaic

Manager, Advisor Support

Atlanta, GA · Hybrid

$70K - $75K/yr

Outstanding professional presence and positive customer service attitude * Relevant experience with ... FINRA Series 24 Current Employees and Contractors Apply Here

Osaic

Manager, Advisor Support

Atlanta, GA · On-site

$70K - $75K/yr

Outstanding professional presence and positive customer service attitude * Relevant experience with ... FINRA Series 24 Current Employees and Contractors Apply Here

Osaic

Manager, Advisor Support

Atlanta, GA · Hybrid

$70K - $75K/yr

... professionals we serve, along with their staffs and teams. The primary objective of the Advisor ... FINRA Series 7 license FINRA Series 24 Equal Opportunity Employer Osaic is an equal opportunity ...

Osaic

Manager, Advisor Support

Atlanta, GA · Hybrid

$70K - $75K/yr

Outstanding professional presence and positive customer service attitude * Relevant experience with ... FINRA Series 24 Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate ...

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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 Aug 19, 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 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.

What are popular job titles related to Professional Finra Series 99 jobs in Decatur, GA?

For Professional Finra Series 99 jobs in Decatur, GA, the most frequently searched job titles are:

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 August 2026, with employment types broken down into 92% Full Time, and 8% Part Time. Highlights an 100% In-person job distribution, with an average salary of $96,608 per year, or $46.4 per hour.

Investment Consultant - Atlanta (Peachtree Corners), GA

Charles Schwab Inc.

Peachtree Corners, GA • On-site

$27.40 - $39.28/hr

Full-time

Re-posted 11 days ago

Job description

Your Opportunity
At Schwab, you'll make an impact on your career while helping clients take ownership of
their financial futures. In a collaborative, inclusive environment, you'll build meaningful
relationships, grow your skills, and contribute to a client-first culture that drives innovation.
As an Investment Consultant (IC) in Schwab's Branch Network, you'll take a critical first
step on the path toward becoming a Financial Consultant. This role is designed for
individuals who are motivated to learn, comfortable taking initiative, and excited to grow
through hands-on experience.
You'll develop core consulting skills through proactive client outreach, needs-based
conversations, and solution positioning-while learning alongside experienced Financial
Consultants who provide coaching, mentoring, and real-time feedback. This is a role where
curiosity, effort, and coachability matter just as much as prior experience.
  • Apply active listening and thoughtful questioning to align solutions to client goals
  • Build relationship management skills through timely, accurate, client-focused support
  • Manage priorities effectively across outreach, follow-up, and administrative work
  • Demonstrate resilience and motivation in achieving individual and team goals
  • Collaborate with Financial Consultants and branch leaders to enhance client
    experience
  • Take ownership of your learning, results, and professional growth

Why you're set up for success:
• Schwab Training and Development
Start with Wealth Management University-a four-week, live virtual program
designed to build your foundation for success.
Afterward, continue your development through hands-on training and mentorship in
your branch, partnering with your manager, peers, and mentors for guidance aligned to
your goals.
• Career Pathing
The Investment Consultant role provides a strong foundation for growth, with a clear
path to a Financial Consultant position for those looking to deepen client relationships,
business development skills "choose your own adventure", and financial expertise.
Schwab also supports a approach-empowering you to explore leadership, expanded branch roles, or opportunities across service and support
teams. You'll be supported by leaders who invest in your growth and continuous
development over time.
• Competitive Compensation
In addition to base pay, this role offers bonus and incentive opportunities tied to
performance.
What you have
The expertise you bring:
  • A valid and active FINRA Series 7 license required
  • Currently hold or obtain the FINRA Series 66 (63/65) license and Life & Health
    Insurance, both of which are required for this role.
  • Relevant experience in financial services or a similar client-facing, sales, or advisory
    environment preferred

The skills you bring:
• Motivation
Demonstrate strong ownership, persistence, and drive in achieving goals
Maintain a growth-oriented mindset, seeking opportunities to learn, improve, and
contribute to client and business outcomes
• Adaptability
Actively seek, receive, and apply feedback to strengthen performance
Adapt to evolving client needs, business priorities, and new information with a flexible,
solutions-oriented approach
• Time Management
Effectively prioritize and manage multiple responsibilities, including client outreach,
follow-ups, and ongoing development
Stay organized and focused in a fast-paced environment to meet deadlines and deliver
consistent results
• Influencing Others
Use active listening and thoughtful questioning to understand client needs and identify
appropriate solutions
Communicate clearly and persuasively to build trust, align on next steps, and guide
client decisions
• Entrepreneurial Orientation
Take initiative to identify opportunities, expand client relationships, and contribute to
business growth
Demonstrate resilience and resourcefulness in pursuing goals and navigating challenges

Apply