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Professional Finra Series 99 Jobs (NOW HIRING)

Finalis

$150 - $200/hr

... professional development. What will you be doing? Quality & Audit Oversight * Support the firm ... You have held a FINRA Series 24 or Series 99 registration, or are willing to obtain these ...

New

Ibis Prep

Series 7 Tutor

Miami, FL · On-site

Remote Series 7 Tutor We're seeking an experienced Series 7 Tutor to help aspiring financial professionals prepare confidently for the FINRA Series 7 licensing exam. This is a fully remote ...

FINRA

Senior Cyber Engagements Lead

Denver, CO

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

Jericho, NY

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

Altruist

Senior Settlements Analyst

Dallas, TX · On-site

$84K - $105K/yr

FINRA Series 99 (or ability to obtain in 90 days) * Expert knowledge with DTC, NSCC, Obligation Warehouse, SMART Track, and other DTCC suite applications * Settlement, buy-in, fail control, and/or ...

FINRA

Senior Cyber Engagements Lead

Dallas, TX

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

Boston, MA · On-site

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

Chicago, IL · On-site

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

Woodbridge, NJ · On-site

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

New York, NY

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

FINRA

Senior Cyber Engagements Lead

Rockville, MD · On-site

Advanced degree or professional certification * Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the ...

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All JobsFinance and Insurance JobsFinancial Services JobsFinancial Reporting Specialist JobsProfessional Finra Series 99 Jobs

Professional Finra Series 99 information

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$31.5K

$98.9K

$207.5K

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

As of Sep 7, 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.

Cash and Controls Associate I

JPMorgan Chase & Co

Newark, DE • On-site

Full-time

Medical, Retirement

Re-posted 5 days ago

JPMorgan Chase & Co. rating

7.9

Company rating: 7.9 out of 10

Based on 500 frontline employees who took The Breakroom Quiz

77th of 175 rated banks

Job description

Are you ready to elevate your career in a fast-paced, innovative environment? The Prime Brokerage department provides packaged services to hedge funds and professional investors, enabling them to finance their investment activities through a bespoke range of products tailored to their needs. Our services include Global Custody, Securities Lending, Financing, and Margin Solutions.


As an Associate in our Prime Brokerage team, you will have the opportunity to develop your skills while contributing to a collaborative group that values growth and learning, you will join us and be part of a company that supports your professional journey and offers exciting challenges. This is an excellent opportunity for a motivated professional seeking to make a difference in a supportive and dynamic environment. You'll work alongside individuals with diverse skills and backgrounds, united to achieve common goals through excellence and creativity. The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date.

Job responsibilities

  • Process payments and review incoming cash wires for institutional and retail clients
  • Apply and monitor payment controls, ensuring adherence to standards
  • Investigate and resolve cash and control breaks
  • Liaise with global partners and stakeholders to resolve reconciliation issues
  • Perform and help design key controls across the trade lifecycle process
  • Analyze and identify opportunities to increase STP (Straight Through Processing)
  • Support the development and revision of company and department policies and procedures
  • Ensure timely completion of work items
  • Prepare and analyze metrics

Required qualifications, capabilities, and skills

  • Experience using automation technologies to optimize systems and processes
  • Knowledge of market products, operating procedures, and relevant industry regulations
  • Proactive approach to problem solving and ownership of issues
  • Strong time management and ability to deliver under pressure
  • FINRA licensing: SIE + Series 99 (or willingness to obtain)
  • Data analysis skills and ability to communicate insights effectively
  • Ability to create and deliver presentations to management and stakeholders

Preferred qualifications, capabilities, and skills

  • Experience in financial services, especially Corporate Banking
  • Payments understanding and background
  • Experience within Prime Brokerage, Securities Settlements, or Asset Servicing
  • Reconciliation experience
  • Analytical skills
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. 

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world. 

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