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Registered Options Principal Jobs (NOW HIRING)

Mutual of Omaha

Regional Supervisory Principal

Torrance, CA · On-site +1

$75.50K - $100K/yr

PREFERRED: * 5-10 years of supervision/compliance experience within securities industry Registration as a FINRA Registered Options Principal. #mutualofomaha We value diverse experience, skills, and ...

Mutual of Omaha

Regional Supervisory Principal

Omaha, NE · On-site +1

$75.50K - $100K/yr

PREFERRED: * 5-10 years of supervision/compliance experience within securities industry Registration as a FINRA Registered Options Principal. #mutualofomaha We value diverse experience, skills, and ...

Compliance Exchange Group

Paralegal

Smithtown, NY · On-site

$60K - $70K/yr

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 ...

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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 Jun 1, 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 are the key skills and qualifications needed to thrive as a Registered Options Principal, and why are they important?

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 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 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.

More about Registered Options Principal jobs
What job categories do people searching Registered Options Principal jobs look for? The top searched job categories for Registered Options Principal jobs are:
Registered Options Principal jobs near you
Infographic showing various Registered Options Principal job openings in the United States as of May 2026, with employment types broken down into 66% Full Time, 17% Part Time, and 17% Contract. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Regional Supervisory Principal

Regional Supervisory Principal

Mutual of Omaha

Torrance, CA • On-site, Remote

$75.50K - $100K/yr

Full-time

Retirement, PTO

Posted 26 days ago

Mutual Of Omaha rating

8.6

Company rating: 8.6 out of 10

Based on 58 frontline employees who took The Breakroom Quiz

72nd of 259 rated insurance

Job description

Join a team that helps drive advisor success by supporting Mutual of Omaha Advisors’ sales activities across assigned regions. In this role, you’ll work closely with Registered Representatives and Insurance Agents, providing guidance on compliance, sales strategy, and practice management programs. You’ll also serve as an expert resource on industry and distribution topics, offering insight and support that enables advisors to focus on growing their practices. 
 
Omaha‑based candidates are strongly preferred. Candidates located near offices in AZ, CA, CO, FL, IA, IN, KS,  MN, MO, SC, TX, VA, or WI may also be considered. This role requires working in a hybrid environment and is not fully remote. 

WHAT WE CAN OFFER YOU:

  • Estimated Salary:  $75,500- $100,000, plus annual bonus opportunity. 
  • 401(k) plan with a 2% company contribution and 6% company match.
  • Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
  • Applicants for this position must not now, nor at any point in the future, require sponsorship for employment. 

WHAT YOU'LL DO:

  • Oversee and supervise sales activity for Registered Representatives and Offices of Supervisory Jurisdiction within an assigned region.
  • Partner with advisors and agents to support sales execution, financial planning strategies, and practice management initiatives.
  • Review and approve new accounts, transactions, correspondence, and outside business activities to ensure suitability, compliance, and firm standards.
  • Monitor supervisory reports, investigate exceptions and audit findings, and take appropriate corrective action.
  • Serve as a trusted supervisory and compliance resource, providing guidance, training support, and coordinating office inspections as needed. 

WHAT YOU’LL BRING:

  • 5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
  • Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding.
  • Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.
  • Proven ability to work independently, manage complex priorities, and make sound, rule‑based decisions under pressure while maintaining confidentiality and professionalism.
  • Excellent communication and leadership skills, with the ability to engage diverse stakeholders, support issue resolution, and travel up to 10% with flexibility across time zones.
  • You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
  • Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.  

PREFERRED:

  • 5-10 years of supervision/compliance experience within securities industry 
    Registration as a FINRA Registered Options Principal. 

#mutualofomaha

We value diverse experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply! 

If you have questions about your application or the hiring process, email our Talent Acquisition area at careers@mutualofomaha.com. Please allow at least one week from time of applying if you are checking on the status.

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