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Securities Principal Jobs (NOW HIRING)

Principal Financial Group

Compliance Advisor

Des Moines, IA · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Principal Financial Group

Compliance Advisor

Charlotte, NC · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Principal Financial Group

Compliance Advisor

Des Moines, IA · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

Principal Financial Group

Compliance Advisor

Raleigh, NC · On-site +1

$104K - $150K/yr

What You'll Do We're looking for a Compliance Advisor to join our Principal Securities/Principal Funds Distributor (PSI/PFD) Compliance team! In this role, you'll assist compliance leadership in ...

HITRUST Service Corp.

AI Security Principal

Frisco, TX · On-site

The AI Security Principal will combine external market education with internal strategic influence, working closely with framework development, product, sales, marketing, and go-to-market teams to ...

HITRUST Services LLC

AI Security Principal

Frisco, TX · On-site

The AI Security Principal will combine external market education with internal strategic influence, working closely with framework development, product, sales, marketing, and go-to-market teams to ...

QCP

Head of Compliance, US

New York, NY

The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems ...

TXU Energy

AI Security Principal Developer

Irving, TX · On-site

AI Security Principal Developer We are seeking an AI Security Principal Developer to serve as a strategic advisor to AI and engineering teams on building secure, trustworthy AI solutions. This role ...

QCP

Head of Compliance, US

New York, NY · On-site

The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems ...

QCP

Head of Compliance, US

New York, NY · On-site

The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems ...

Flagstar Bank

Product Security Principal

Troy, NY · On-site

Position Title Product Security Principal Location New York, NY 10018 Job Summary Serves as the embedded security subject matter expert and thought lead for assigned product lines within the product ...

Flagstar Bank

Product Security Principal

New York, NY · On-site

Position Title Product Security Principal Location New York, NY 10018 Job Summary Serves as the embedded security subject matter expert and thought lead for assigned product lines within the product ...

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Securities Principal information

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$36.5K

$109.4K

$182K

How much do securities principal jobs pay per year?

As of Jul 14, 2026, the average yearly pay for securities 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.

How much does a securities principal make?

A securities principal typically earns a median annual salary of around $100,000 to $150,000, depending on experience, location, and the size of the firm. They often hold securities licenses such as Series 7 and Series 24 and may receive bonuses based on performance and compliance responsibilities.

What is the difference between Securities Principal vs Securities Representative?

AspectSecurities PrincipalSecurities Representative
Required CredentialsSeries 24, Series 7, Series 63/66, and other licensesSeries 7, Series 63/66, and other licenses
Work EnvironmentSupervises and oversees registered representatives, compliance, and firm operationsEngages directly with clients, sells securities, and provides investment advice
Employer & Industry UsageUsed by broker-dealer firms for compliance and supervisory rolesUsed by individual brokers and financial advisors for client interactions

The Securities Principal holds a supervisory role, overseeing registered representatives and ensuring compliance, requiring advanced licenses like Series 24. In contrast, Securities Representatives focus on client-facing activities, selling securities and providing investment advice, requiring licenses like Series 7 and Series 63/66. Both roles are integral to the securities industry but differ in responsibilities, licensing, and work environment.

What is a Securities Principal?

A Securities Principal is a licensed financial professional responsible for supervising and managing the activities of registered representatives within a broker-dealer firm. They ensure compliance with industry regulations, oversee sales practices, and help implement firm policies to protect clients and maintain ethical standards. Securities Principals typically hold specific licenses, such as the FINRA Series 24, and play a key role in maintaining the integrity of financial operations in their organization.

What jobs can you get with a securities license?

A securities license allows individuals to work as registered representatives, financial advisors, or broker-dealer agents, selling securities and investment products. These roles often involve client advising, portfolio management, and compliance with industry regulations, requiring passing exams like the Series 7 or Series 63. The license enables professionals to operate within brokerage firms, investment advisory firms, or banks.

What is the highest paid job in finance?

In finance, the highest paid roles often include investment bankers, hedge fund managers, and private equity executives, with senior positions earning millions annually. These roles typically require advanced degrees, extensive experience, and strong analytical skills, often working in high-pressure environments. Compensation can include base salary, bonuses, and profit sharing, reflecting performance and market conditions.

What does a securities principal do?

A securities principal is a registered professional responsible for supervising securities activities, ensuring compliance with industry regulations, and overseeing broker-dealer operations. They review and approve transactions, maintain records, and often hold licenses such as Series 7 and Series 24. Their role is essential for maintaining regulatory standards within financial firms.

What are the typical challenges Securities Principals face when supervising registered representatives?

Securities Principals often encounter challenges in ensuring full compliance with complex regulatory requirements while supervising multiple registered representatives. They must stay updated on frequent changes in rules and proactively identify potential compliance risks in daily operations. Balancing the need for thorough oversight with the demands of business growth and sales goals can also be challenging. Effective communication and strong organizational skills are essential for addressing these challenges and fostering a culture of compliance within their teams.

What are the key skills and qualifications needed to thrive as a Securities Principal, and why are they important?

To thrive as a Securities Principal, you need a thorough understanding of securities regulations, compliance procedures, and supervisory practices, typically supported by FINRA Series 24 or Series 26 licensure. Familiarity with regulatory reporting systems, surveillance tools, and compliance management software is crucial. Strong leadership, decision-making, and communication skills enable effective oversight and guidance of registered representatives. These competencies ensure regulatory adherence, mitigate risks, and foster a compliant and ethical trading environment.
More about Securities Principal jobs
What cities are hiring for Securities Principal jobs? Cities with the most Securities Principal job openings:
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Securities Principal jobs near you
Infographic showing various Securities Principal job openings in the United States as of July 2026, with employment types broken down into 89% Full Time, 9% Part Time, 1% Temporary, and 1% Contract. Highlights an 95% Physical, 1% Hybrid, and 4% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.
Acquisition Security Principal

Acquisition Security Principal

Addx Corporation

Kirtland, NM • On-site

$145K - $153K/yr

Full-time

Re-posted 17 days ago

Job description

Acquisition Security Principal

Location: Kirtland AFB, NM, 87417

Position Overview

We are seeking a highly skilled and motivated Acquisition Security Principal to join our team at Kirtland Air Force Base. The ideal candidate will have extensive experience in Acquisition Security, with a strong background in Department of Defense Risk Management Framework (DOD RMF), Information Security (INFOSEC), and Operations Security (OPSEC). This role is critical in ensuring the security and compliance of acquisition programs within a dynamic defense environment.

Key Responsibilities
  • Lead and manage acquisition security efforts to ensure compliance with DoD policies and regulations.
  • Implement and oversee the Department of Defense Risk Management Framework (DOD RMF) processes for acquisition programs.
  • Develop, review, and enforce INFOSEC and OPSEC policies and procedures related to acquisition activities.
  • Collaborate with program managers, security personnel, and other stakeholders to identify and mitigate security risks.
  • Conduct security assessments and provide recommendations to enhance the security posture of acquisition projects.
  • Maintain up-to-date knowledge of DoD security requirements, directives, and best practices.
  • Provide training and guidance on acquisition security principles and compliance requirements.
Required Skills and Qualifications
  • Proven experience as an Acquisition Security Principal or in a similar role within the defense sector.
  • In-depth knowledge of the Department of Defense Risk Management Framework (DOD RMF).
  • Strong understanding of Information Security (INFOSEC) principles and practices.
  • Experience with Operations Security (OPSEC) and its application in acquisition programs.
  • Familiarity with DoD acquisition processes and security compliance requirements.
  • Excellent communication and interpersonal skills to effectively collaborate with cross-functional teams.
  • Ability to analyze complex security issues and develop practical solutions.
  • Relevant security certifications are a plus (e.g., CISSP, CAP, Security+).
Education

Bachelor’s degree in Information Security, Cybersecurity, Computer Science, or a related field is preferred. Equivalent experience will also be considered.

Security Clearance

Candidates must be eligible to obtain and maintain a DoD security clearance.

Secret Clearance Required

Apply