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Registered Options Principal Jobs (NOW HIRING)

MassMutual

Suitability Principal

Nashville, TN · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

New

MassMutual

Suitability Principal

Providence, RI · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

New

MassMutual

Suitability Principal

Hartford, CT · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Springfield, MA · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Raleigh, NC · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Sacramento, CA · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Phoenix, AZ · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Concord, NH · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

New

MassMutual

Suitability Principal

Atlanta, GA · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

MassMutual

Suitability Principal

Tallahassee, FL · Hybrid

$69K - $90K/mo

Review trading activity of registered representatives through supervisory control procedures and ... Specialized regulatory review of securities such as Options trading and Municipal Securities may be ...

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Registered Options Principal information

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$36.5K

$109.4K

$182K

How much do registered options principal jobs pay per year?

As of Sep 2, 2026, the average yearly pay for registered options 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 registered options principal?

A Registered Options Principal (ROP) is a financial professional who is licensed and qualified to oversee options trading activities at a brokerage firm. Their primary responsibilities include supervising the firm's options business, ensuring compliance with industry regulations, and approving customer accounts for options trading. ROPs must pass the FINRA Series 4 exam and typically have experience with securities regulations and risk management. They play a key role in protecting both the firm and its clients by enforcing rules and best practices related to options trading.

What are the key skills and qualifications needed to thrive as a registered options principal?

To thrive as a Registered Options Principal, you need a deep understanding of options trading, securities regulations, and risk management, along with passing the FINRA Series 4 exam. Familiarity with compliance platforms, trade surveillance systems, and brokerage back-office software is essential. Strong analytical skills, attention to detail, and effective communication are vital soft skills for this role. These competencies ensure the firm's options activities comply with industry regulations and help protect both clients and the organization from financial and regulatory risks.

What are some common challenges registered options principals face when overseeing options trading compliance?

Registered Options Principals (ROPs) often encounter challenges such as staying updated with rapidly evolving regulatory requirements and ensuring that all options-related communications and transactions comply with FINRA and SEC rules. They must vigilantly review and approve options accounts, supervise marketing materials, and monitor trading activity for potential violations or high-risk patterns. Balancing these compliance duties with supporting the firm's business objectives requires strong attention to detail, clear communication with trading and compliance teams, and ongoing education to keep up with industry changes.

What is the difference between Registered Options Principal vs Registered Options Trader?

AspectRegistered Options PrincipalRegistered Options Trader
CredentialsSeries 7, 24, 4, 63/65/66 (if applicable)Series 7, 63/66 (if applicable)
Work EnvironmentSupervises options trading activities, compliance, and firm policiesExecutes options trades, manages client accounts
Employer & Industry UsageUsed by firms overseeing options trading compliance and supervisionUsed by individual traders and brokers executing trades

The main difference is that a Registered Options Principal oversees and supervises options trading activities within a firm, ensuring compliance with regulations. In contrast, a Registered Options Trader actively executes options trades for clients or the firm. The Principal holds supervisory responsibilities, while the Trader focuses on trading execution.

How much does a registered options principal make?

A registered options principal typically earns a salary ranging from $150,000 to $250,000 annually, depending on experience, firm size, and location. They often receive bonuses and benefits related to their role overseeing options trading and compliance within a brokerage or financial firm.

How to become a registered options principal?

To become a registered options principal, an individual must pass the Series 4 exam, which is administered by the Financial Industry Regulatory Authority (FINRA), and meet experience requirements such as working in a supervisory capacity related to options trading. Additionally, candidates must be sponsored by a FINRA-member firm and complete continuing education to maintain registration.
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Registered Options Principal jobs near you
Infographic showing various Registered Options Principal job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 79% Full Time, 13% Part Time, and 7% Contract. Highlights an 82% Physical, 1% Hybrid, and 17% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Broker Dealer Compliance Officer Remote

Compliance Exchange Group

Smithtown, NY • On-site, Remote

$40 - $60/hr

Full-time

Dental, Vision, Retirement, PTO

Re-posted 3 days ago

Job description

Benefits:
  • 401(k)
  • Dental insurance
  • Flexible schedule
  • Opportunity for advancement
  • Paid time off
  • Parental leave
  • Training & development
  • Vision insurance

We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses. This role will report to our Director of Growth and Operations.
is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. We are the architects charged with building successful firms for our clients. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.
We love what we do and we're on a path for growth. Compliance Exchange Group is comprised of professionals that exhibit a passion for building and maintaining broker-dealers. We offer a fully remote work environment with a company culture that promotes personal and professional development as well as a healthy work-life balance. We provide an array of benefits including competitive compensation, flexible work schedules, PTO, 401(k) with employer contribution, performance-based bonuses, opportunities for growth and more!
This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour
This is a remote position.
Compensation: $40.00 - $60.00 per hour
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
  • Chief Compliance Officers
  • FINOPs
  • Licensed Principals
  • Series 4 - Registered Options
  • Series 24 - General Securities
  • Series 79 - Investment Banking

CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication - both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.

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