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Registered Options Principal Jobs (NOW HIRING)

Modern Woodmen

Compliance Principal

Rock Island, IL · On-site

$30/hr

MWA Financial Services, Inc., a registered broker/dealer, investment adviser and wholly-owned ... Our employees can purchase a variety of breakfast, lunch, and beverage options at Café 1883. * A ...

PNC

Software Engineer Principal

Pittsburgh, PA · On-site

$131K - $175K/yr

Depending on your eligibility, options for full-time employees include medical/prescription drug ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and ...

PNC Bank

Software Engineer Principal

Strongsville, OH · On-site

$124K - $167K/yr

Depending on your eligibility, options for full-time employees include medical/prescription drug ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and ...

PNC

Software Engineer Principal

Strongsville, OH · On-site

$124K - $167K/yr

Depending on your eligibility, options for full-time employees include medical/prescription drug ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and ...

PNC Bank

Software Engineer Principal

Pittsburgh, PA · On-site

$131K - $175K/yr

Depending on your eligibility, options for full-time employees include medical/prescription drug ... registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and ...

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Registered Options Principal information

See salary details

$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.

Futures & Options Trading Analyst Intern - Summer 2027

DV Trading

New York, NY • On-site

$18.75/hr

Full-time, Temporary, Internship

Posted 8 days ago

Job description

Location: New York Office
Duration: Summer 2027 (4 weeks)
Department: DV Securities Liquid Products Group
About DV Securities:DV Securities is a registered broker-dealer and a member of both FINRA and FICC, with a core focus on fixed income markets. We are active participants in the U.S. Treasury and agency MBS repo markets, supported by a growing platform that facilitates both principal and riskless principal trading activity.
The firm is rooted in a culture of innovation, excellence, and collaboration. As part of the broader DV ecosystem-a global network of trading firms active across futures, equities, and structured products-DV Securities benefits from the reach and resources of a multi-asset organization with offices in North America, Europe, and Asia.
Joining DV Securities means becoming part of a forward-thinking, agile team that values initiative, adaptability, and a commitment to performance in an ever-evolving financial landscape.
Overview:We are seeking a highly motivated Futures & Options Trading Analyst Intern with a strong background in Financial Engineering, Quantitative Finance, Mathematics, or a related field to support our derivatives trading desk. This internship offers hands-on exposure to futures and options markets, quantitative modeling, and real-time trading operations.
The intern will work closely with traders and quantitative researchers to analyze market data, evaluate trading strategies, and assist in risk management activities.
Key Responsibilities:
  • Conduct quantitative analysis of futures and options markets across asset classes (equities, rates, FX, commodities)
  • Assist in developing and backtesting trading strategies
  • Analyze implied volatility, option Greeks, and volatility surfaces
  • Monitor market movements, news, and macroeconomic indicators
  • Support real-time trading decisions with data-driven insights
  • Build dashboards, reports, and analytical tools
  • Perform statistical analysis of historical market data
  • Assist with position monitoring, P&L tracking, and risk reporting
  • Identify pricing anomalies and relative-value opportunities
  • Document models, methodologies, and findings

Required Qualifications:
  • Currently pursuing a Bachelor's, Master's, or PhD in:
    • Financial Engineering
    • Quantitative Finance
    • Mathematics / Applied Mathematics
    • Statistics
    • Physics
    • Computer Science
    • Economics (quantitative track)
  • Strong understanding of derivatives (futures and options)
  • Solid foundation in probability, statistics, and linear algebra
  • Proficiency in Python (NumPy, Pandas, SciPy, Matplotlib or similar) or R or C++
  • Ability to work with large datasets
  • Excellent analytical and problem-solving skills
  • Strong communication and teamwork abilities

Preferred Qualifications:
  • Knowledge of option pricing models (e.g., Black-Scholes, binomial trees)
  • Familiarity with volatility modeling and Greeks
  • Experience with time-series analysis or machine learning
  • Exposure to financial markets and trading concepts
  • Experience with SQL, R, or C++
  • Familiarity with Bloomberg or other market data platforms

What You Will Gain:
  • Direct exposure to professional trading environments
  • Mentorship from experienced traders and quantitative analysts
  • Hands-on experience with real market data
  • Understanding of risk management and portfolio construction
  • Opportunity to contribute to live trading strategies
  • Potential pathway to full-time roles

Compensation rate: $18.75/hr
DV is not accepting unsolicited resumes from search firms. Only search firms with valid, written agreements with DV should submit resumes in response to DV's posted positions. All resumes submitted by search firms to DV via e-mail, the Internet, personal delivery, facsimile, or any other method without a valid written agreement shall be deemed the sole property of DV, and no fee will be paid in the event the candidate is hired by DV. DV is proud to be an equal opportunity employer and committed to creating an inclusive environment for all employees.

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