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Series 10 Jobs (NOW HIRING)

Fidelity Investments

Branch Leader - Katy, TX

Katy, TX · On-site

The Series 7 and 66 or 63/65 are required, additionally we would want you to obtain the Series 9/10 upon hire The Purpose of Your Role Our intention for this management team member is to be in a ...

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How much do series 10 jobs pay per hour?

As of Jun 10, 2026, the average hourly pay for series 10 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What are some common challenges faced by individuals preparing for the Series 10 exam, and how can they be addressed?

Preparing for the Series 10 exam can be challenging due to the breadth and complexity of supervisory topics it covers, including compliance, regulations, and sales supervision. Many candidates find it difficult to balance study time with their job responsibilities. To address these challenges, it's helpful to create a structured study plan, use reputable prep materials, and participate in study groups or courses. Regular practice exams can also help identify knowledge gaps and build confidence before the test.

What are the key skills and qualifications needed to thrive as a Series 10 licensed supervisor, and why are they important?

To thrive as a Series 10 licensed supervisor, you need a solid understanding of securities regulations, supervisory procedures, and compliance requirements, typically supported by passing the FINRA Series 10 exam. Familiarity with compliance software, trade monitoring systems, and reporting tools is essential for effectively overseeing sales activities. Strong leadership, attention to detail, and effective communication are important soft skills for managing teams and ensuring regulatory adherence. These skills and qualifications are crucial for maintaining compliance, mitigating risks, and fostering ethical standards within broker-dealer operations.

What is the difference between Series 10 vs Series 7?

AspectSeries 10Series 7
Required CertificationsSeries 10 licenseSeries 7 license
Work EnvironmentCompliance, supervision, and regulatory rolesBroader securities trading and sales
Industry UsagePrimarily in compliance and supervisory positions within broker-dealersIn sales, trading, and general securities roles
Common Search/ComparisonOften compared for regulatory and supervisory rolesMore focused on sales and trading activities

The Series 10 and Series 7 licenses are both essential in the securities industry but serve different functions. Series 10 is mainly for supervisory and compliance roles, ensuring firms adhere to regulations. Series 7 is broader, allowing individuals to engage in trading, sales, and investment activities. Understanding these differences helps professionals choose the right certification for their career path.

What can you do with series 9 and 10?

Holding Series 9 and 10 licenses qualifies individuals to supervise and manage securities and investment banking activities, including underwriting and trading. These licenses are often required for roles in securities sales, trading, and investment banking, and they demonstrate advanced knowledge of financial regulations and compliance. They also serve as prerequisites for higher-level certifications and roles within the financial industry.

What is a Series 10 license?

A Series 10 license is a regulatory certification issued by the Financial Industry Regulatory Authority (FINRA) in the United States. It is officially known as the General Securities Sales Supervisor - General Module Exam and is intended for individuals who want to supervise sales activities in a brokerage firm. This license allows holders to oversee branch office operations, supervise registered representatives, and enforce compliance with securities laws and regulations. To obtain a Series 10, candidates must already hold a Series 7 license and pass the Series 9 exam as well. The Series 10 focuses on topics such as supervision of sales practices, recordkeeping, and resolving customer complaints.
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Series 10 jobs near you
Infographic showing various Series 10 job openings in the United States as of June 2026, with employment types broken down into 1% As Needed, 80% Full Time, 13% Part Time, and 6% Contract. Highlights an 96% Physical, 1% Hybrid, and 3% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.
Assistant Director of Supervision & Investment Operations

Assistant Director of Supervision & Investment Operations

Northwestern Mutual

Honolulu, HI

$90K - $110K/yr

Other

Medical, Dental, Vision, Retirement, PTO

Posted yesterday

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 71 frontline employees who took The Breakroom Quiz

146th of 260 rated insurance

Job description

Director of Supervision & Investment Operations


Northwestern Mutual – Hawaii is adding a new member to its leadership team, charged with building and leading the compliance and investment operations functions. With significant growth on the horizon, this leader will work with the Managing Partner to develop and implement the supervision strategy and risk management approach, and serve as a trusted compliance advisor to our representatives.

The ideal candidate brings an enthusiasm for new ways of working, an eye for efficiency, and a consultative approach to problem-solving.


Key Responsibilities:

  • Build and lead office administration and service support functions for investment operations, identifying process improvements to enhance productivity
  • Perform compliance review and supervision of multiple systems
  • Develop supervisory plans to address non-standard behavior or to address sales practice concerns
  • Complete requests including money market movement, new accounting opening, funding for our centralized services subscribers
  • Train Financial Representatives and staff on compliance and regulatory topics, and investment operations fundamentals
  • Play a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
  • Participating in all firm-wide leadership meetings and development workshops
  • Learning and gaining an understanding of the financial advisor role


What’s in it for you?                                                                                                                                       

We believe in building a team that loves what they do and creating a work environment that supports long-term career growth. Accordingly, we provide a rewarding compensation package that includes:

  • Annualized salary range $90,000-$110,000 based on experience
  • Full benefits - medical, dental, vision, FSA
  • 3% automatic (safe harbor) 401k contribution
  • Employer-sponsored licensing, professional development, and education opportunities
  • Competitive PTO and 11 paid holidays
  • Parking/transportation stipend


Qualifications:

  • Ability to obtain Series 7, Series 9, Series 10, and Series 63 registrations within 4 months. Series 7, 24, 4, 53, and 63 may be considered in lieu of Series 7, 9/10, and 63
  • Active Life/Health licenses, or the ability to obtain within 1 month
  • 5-7 years of industry experience with an emphasis in operations management or compliance/supervision
  • Strong working knowledge of standard industry and regulatory policies and procedures
  • Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation
  • Ability to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing them
  • Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
  • Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
  • Strong written and oral communication skills
  • Experience handling highly sensitive communications

What Northwestern Mutual employees say

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About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

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