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Securities Principal Jobs (NOW HIRING)

AHEAD

Managing Principal - Security

Chicago, IL · On-site

Managing Principals are seasoned experts in information security and/or information security governance and compliance. Successful candidates support the Security and Compliance Practice in Delivery ...

C1

Security Principal Engineer

Sacramento, CA · On-site

Overview The Security Principal Engineer provides technical leadership, guidance and mentorship for a team of network engineers ranging in skill from junior to senior level. The position requires at ...

C1

Security Principal Engineer

Sacramento, CA · On-site

The Security Principal Engineer provides technical leadership, guidance and mentorship for a team of network engineers ranging in skill from junior to senior level. The position requires at a minimum ...

National Grid

Principal Security Architect

Waltham, MA · Hybrid

$184K - $216K/yr

So, join us as a Principal Security Architect, and find your superpower. We want to find an innovative, adaptable, and results-oriented Principal Security Architect for our Business Cybersecurity ...

National Grid

Principal Security Architect

Brooklyn, NY · Hybrid

$184K - $216K/yr

So, join us as a Principal Security Architect, and find your superpower. We want to find an innovative, adaptable, and results-oriented Principal Security Architect for our Business Cybersecurity ...

National Grid

Principal Security Architect

Hicksville, NY · Hybrid

$184K - $216K/yr

So, join us as a Principal Security Architect, and find your superpower. We want to find an innovative, adaptable, and results-oriented Principal Security Architect for our Business Cybersecurity ...

National Grid

Principal Security Architect

Syracuse, NY · Hybrid

$184K - $216K/yr

So, join us as a Principal Security Architect, and find your superpower. We want to find an innovative, adaptable, and results-oriented Principal Security Architect for our Business Cybersecurity ...

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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:
What states have the most Securities Principal jobs? States with the most job openings for Securities Principal jobs include:
What job categories do people searching Securities Principal jobs look for? The top searched job categories for Securities Principal jobs are:
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.
Managing Principal - Security

Managing Principal - Security

AHEAD

Chicago, IL • On-site

Other

Medical, Dental, Vision, Retirement, PTO

This job post has expired today. Applications are no longer accepted.

Job description

AHEAD builds platforms for digital business. By weaving together advances in cloud infrastructure, automation and analytics, and software delivery, we help enterprises deliver on the promise of digital transformation.
At AHEAD, we prioritize creating a culture of belonging, where all perspectives and voices are represented, valued, respected, and heard. We create spaces to empower everyone to speak up, make change, and drive the culture at AHEAD.
We are an equal opportunity employer, and do not discriminate based on an individual's race, national origin, color, gender, gender identity, gender expression, sexual orientation, religion, age, disability, marital status, or any other protected characteristic under applicable law, whether actual or perceived.
We embrace all candidates that will contribute to the diversification and enrichment of ideas and perspectives at AHEAD.

Managing Principals are seasoned experts in information security and/or information security governance and compliance. Successful candidates support the Security and Compliance Practice in Delivery, Business Development, and Practice Development activities.
Managing Principals collaborate with a diverse team of consultants with varying skills to meet and exceed client expectations through scoped engagements. They effectively facilitate and lead client engagements onsite or remotely by guiding engagements toward scoped objectives and troubleshooting to effectively resolve project risks or issues. Managing Principals effectively lead client delivery engagements by executing the necessary project tasks, producing expected collateral, and presenting artifacts at any time throughout an engagement, while acting in a leadership capacity to the project team(s), and managing customer stakeholders.
Managing Principals also support business development activities alongside a sales specialist to qualify client needs and expectations or demonstrate a capability or skillset. They may be directly engaged in client-facing interactions to identify client needs and to produce and/or present sales proposals, leading client-visioning, or discovery sessions. Managing Principals may also collaborate with other AHEAD Practice areas to identify complex, cross-practice solution sets to achieve a client's desired state or outcome.
Lastly, AHEAD Managing Principals also leverage their visibility and experience to contribute to the continuous improvement and maturation of in-practice service offerings and capabilities by proposing ideas for change and executing on ideas that are committed. This includes positively impacting our service portfolio and individuals on the team through thought leadership and mentorship. Managing Principals require approval from management prior to making any significant change to a given service offering or capability.
Responsibilities
  • Client Delivery
  • Facilitate sessions of strategy, roadmap, design, and planning workshops for large or complex cross-practice service engagements
  • Ensure that customer expectations are appropriately set and managed
  • Lead project engagement teams through the delivery of consulting service offerings
  • Drive and manage the objectives, requirements gathering, project tasks/milestone, project status, dependencies, and timelines, to ensure engagements are delivered successfully and on time while meeting the business objectives
  • Breaks down risks or issues into manageable segments, identifies the factors that affect a problem and determine how best to approach
  • Creation and finalization of project deliverables, may perform peer review for collateral developed by others on a delivery team
  • Presentation of deliverables to client executive management
  • Knowledge of AHEAD's project lifecycle management activities to effectively support delivery engagements throughout the duration of a project
  • Act as the Engagement Lead on customer facing projects, when assigned
  • Stakeholder management for large and complex projects at Enterprise customers
  • Business Development
  • Support business development pursuits through client discovery meetings
  • Represent service offerings during the sales cycle, including project scoping, proposal development, and presenting proposals to clients
  • Knowledge of AHEAD's sales management lifecycle to effectively support sales opportunities throughout the duration of a proposal
  • Scope engagements and create proposal packages
  • Lead client discovery and/or visioning workshops to identify opportunities for cross-practice collaboration
  • Practice Development & Thought Leadership
  • Maintain subject matter expertise in a minimum of twelve security domains or control areas with technical solution experience in up to three security technology solutions
  • Participate in the development, enhancement, and standardization of AHEAD in-practice service offerings
  • Owns and/or enables more than one service capability
  • Process-focused technology thought leader and evangelist
  • Maintain a broad knowledge and understanding of current and future state IT trends, technologies, and standards
  • Lend support and mentorship to others
Requirements
  • Undergraduate degree in Computer Sciences or Business Management preferred, but not required
  • Previously worked in a leadership or program director role
  • Minimum of 15 years consulting experience, or commensurate work experience
  • 3 professional and/or technical certifications, including industry-recognized certifications which align to AHEAD's Security service portfolio
  • Excellent verbal and written communication skills
  • Comfortable addressing groups of people in virtual or in-person settings
  • Demonstrated Business Acumen
  • Ability to solve complex, abstract problems
  • Excellent interpersonal skills, good listener, ability to connect with different personalities
  • Exhibit Executive presence with leadership characteristics
  • Demonstrated experience as a technology change agent
Cyber Recovery Role Requirements
  • Understanding of cyber recovery lexicon, approaches, challenges, and core considerations
  • Knowledge of methodologies for protecting and recovering critical business data including isolated recovery environments, forensics cleanrooms, and standby production environments.
  • Ability to utilize a risk-based mindset and approach to articulate design decisions to both technical and non-technical stakeholders.
  • Knowledge of Enterprise Security architectures and/or experience as an enterprise security architect
The compensation range indicated in this posting reflects the On-Target Earnings ("OTE") for this role, which includes a base salary and any applicable target bonus amount. This OTE range may vary based on the candidate's relevant experience, qualifications, and geographic location.
Why AHEAD:
Through our daily work and internal groups like Moving Women AHEAD and RISE AHEAD, we value and benefit from diversity of people, ideas, experience, and everything in between.
We fuel growth by stacking our office with top-notch technologies in a multi-million-dollar lab, by encouraging cross department training and development, sponsoring certifications and credentials for continued learning.
USA Employment Benefits include:
- Medical, Dental, and Vision Insurance
- 401(k)
- Paid company holidays
- Paid time off
- Paid parental and caregiver leave
- Plus more! See benefits https://www.aheadbenefits.com/ for additional details.
Use of AI:
We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, assessing responses, or to capture recordings and create transcriptions or summaries during interviews. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans.
If you would like more information about how your data is processed, please refer to the Candidate Privacy Notice or contact us at privacy@ahead.com.
You may opt-out of the review or analysis of your application and resume by AI tools by using the General Application. Please include the role you wish to apply for in the Additional Information field. You may also choose to opt-out of recording and transcription at any time, including after joining an interview. Candidates will not be penalized for choosing to opt-out.

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