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Series 10 Jobs (NOW HIRING)

Jobtailor

NY · On-site

$150 - $230/hr

Series 9 * Series 10 * Series 31 * Series 3 #J-18808-Ljbffr

Jobtailor

Risk Officer

Tampa, FL · On-site

$120 - $180/hr

Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) * Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures. * Clear ...

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Series 10 information

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$11

$27

$45

How much do series 10 jobs pay per hour?

As of Aug 21, 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 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.

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 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 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 states have the most Series 10 jobs?

States with the most job openings for Series 10 jobs include:

Series 10 jobs near you
Infographic showing various Series 10 job openings in the United States as of August 2026, with employment types broken down into 84% Full Time, 13% Part Time, 1% Temporary, and 2% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Associate Regional Director

Jobtailor

NY • On-site

$150 - $230/hr

Other

Posted 16 days ago

Job description

Responsibilities
  • Executes components of the region business plan with a focus on advisor productivity, strategic flows, and revenue growth.
  • Recruits, coaches, and retains high-performing talent, fostering a culture of inclusion, innovation, and respect regardless of team size or tenure.
  • Influences advisor engagement and client experience, ensuring alignment with enterprise priorities and directly coaching advisors to optimize impact.
  • Serves as a trusted advisor and problem solver for UHNW clients delivering customized, integrated solutions embedded in a strong risk culture.
  • Builds relationships across lines of business and product groups to deliver the enterprise’s full capabilities, orchestrating firm and enterprise resources to solve complex client needs.
  • Acts as the regulatory supervisor for multiple groups of private wealth advisors, partnering with Supervision and Control partners to oversee activities that require advanced licensing (Series 9/10 and 3/31).
Requirements
  • Minimum 12 years professional experience.
  • Minimum 5 years management experience, with ability to lead at scale.
  • Must have Series 7, Series 63 and 65 or 66, Series 9 and Series 10, and the ability to obtain Series 31 or 3 within a short timeframe.
  • Advanced wealth management acumen, including UHNW products and strategies, regulatory and supervisory requirements, and industry trends.
  • Ability to travel up to 50% of the time.
Certifications & Qualifications
  • Series 7
  • Series 63
  • Series 65
  • Series 66
  • Series 9
  • Series 10
  • Series 31
  • Series 3
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