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Series 14 Jobs (NOW HIRING)

Integritymarketing

Compliance Officer

Scottsdale, AZ

Active FINRA registrations: o SIE and either Series 6 or 7 required o Either Series 26 or 24 required(or ability to obtain within 6 months of hire) o Series 14 preferred (or ability to obtain within ...

Wealthfront

Director of Compliance

Palo Alto, CA · On-site +1

$215K - $246K/yr

FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary Estimated annual salary: $215,000 - $246,875 plus equity and a discretionary bonus. Benefits ...

Wealthfront

Director of Compliance

Palo Alto, CA · On-site +1

$215K - $246K/yr

FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary Estimated annual salary: $215,000 - $246,875 plus equity and a discretionary bonus. Benefits ...

Wealthfront

Director of Compliance

Palo Alto, CA · Remote

$215K - $246K/yr

FINRA Series 7 and 24 or Series 14; willingness to obtain other registrations and/or licenses as necessary Estimated annual salary: $215,000 - $246,875 plus equity and a discretionary bonus. Benefits ...

MillTech

Compliance Officer

New York, NY · On-site

FINRA Series 14 or 24 * Proven ability to influence executives and boards, and to build compliance functions that scale with the business. * Impeccable integrity, sound judgment, and clear, direct ...

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All JobsSeries 14 Jobs

Series 14 information

See salary details

$11K

$78.3K

$118K

How much do series 14 jobs pay per year?

As of Aug 16, 2026, the average yearly pay for series 14 in the United States is $78,333.00, according to ZipRecruiter salary data. Most workers in this role earn between $50,000.00 and $96,500.00 per year, depending on experience, location, and employer.

What is the difference between Series 14 vs Series 7?

AspectSeries 14Series 7
Primary RoleFinancial planning and advisory servicesSecurities and investment brokerage
Required CertificationsSeries 14, Series 7
Work EnvironmentFinancial advisory firms, banks
Industry UsageFinancial planning, wealth management

Series 14 and Series 7 both require securities licenses and are used in financial services. Series 14 focuses on investment advisory and financial planning, while Series 7 is geared toward securities trading and brokerage. Professionals often obtain both to provide comprehensive financial services, but Series 14 emphasizes client advisory roles, whereas Series 7 is more transaction-focused.

More about Series 14 jobs

What cities are hiring for Series 14 jobs?

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What states have the most Series 14 jobs?

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What job categories do people searching Series 14 jobs look for?

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Series 14 jobs near you
Infographic showing various Series 14 job openings in the United States as of August 2026, with employment types broken down into 84% Full Time, 12% Part Time, 1% Temporary, and 3% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $78,333 per year, or $37.7 per hour.

Chief Compliance Officer at Full-service Broker-Dealer and Investment Bank New York, NY

Shell Lubricants Hub Hamburg

Manhattan, NY • On-site

$150 - $200/hr

Other

Medical, Dental, Retirement, PTO

Posted 11 days ago

Job description

Job Description Firm Overview

A New York–based, full‑service broker‑dealer and investment bank providing investment banking, brokerage, trading, and capital markets services to institutional and corporate clients. The firm operates in a highly regulated, execution‑focused environment with a strong emphasis on regulatory discipline, supervisory oversight, and day‑to‑day compliance engagement across all business lines.

Position Summary

The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm’s enterprise‑wide Compliance Program. This role serves as the senior compliance authority and primary regulatory liaison, ensuring adherence to SEC, FINRA, MSRB, and other applicable regulatory requirements.

The CCO is expected to be highly hands‑on, actively involved in daily compliance operations, supervisory oversight, regulatory examinations, and strategic decision‑making. This role partners closely with executive management, investment banking leadership, trading, operations, and legal teams to maintain a strong culture of compliance and risk management.

Essential Duties and Responsibilities
  • Oversee, administer, and continuously enhance the firm’s Compliance Program across all broker‑dealer and investment banking activities
  • Serve as the primary point of contact with FINRA, the SEC, MSRB, and state regulators, including leading regulatory examinations, inquiries, and remediation efforts
  • Supervise day‑to‑day compliance operations, including surveillance reviews, communications monitoring, trading supervision, and regulatory reporting
  • Review and approve marketing materials, public communications, and investment‑related content in accordance with FINRA Rule 2210
  • Oversee branch office supervision, including branch inspections, deficiency remediation, escalation, and documentation
  • Review and approve outside business activities, private securities transactions, heightened supervision plans, and disciplinary matters
  • Ensure timely and accurate regulatory filings, including FINRA 4530 reports, Form U4/U5 amendments, and other required submissions
  • Draft, maintain, and enforce compliance policies, procedures, and Written Supervisory Procedures
  • Establish and execute the annual compliance plan, internal testing program, thematic reviews, and firm‑wide risk assessments
  • Lead firm‑wide compliance training initiatives, including Annual Compliance Meetings, AML training, and targeted regulatory education
  • Build, mentor, and manage compliance personnel, setting performance expectations and supporting professional development
  • Provide regulatory guidance and interpretation to senior management and business leaders, supporting new initiatives and strategic growth
  • Represent the Compliance Department in management meetings and contribute to firm‑level risk mitigation and governance discussions
Qualifications Education
  • Bachelor’s degree required
  • Advanced degree (JD, MBA, MS Finance, or related) strongly preferred
Licensing
  • Must hold active FINRA Series 7, Series 24, Series 14, and Series 63 or 66 registrations
Experience
  • Minimum of 10+ years of broker‑dealer compliance experience
  • Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full‑service broker‑dealer or investment bank
  • Demonstrated experience leading and responding to FINRA and SEC examinations
Skills and Competencies
  • Deep understanding of SEC, FINRA, and MSRB regulatory frameworks
  • Strong supervisory judgment and risk‑based decision‑making ability
  • Hands‑on leadership style with the ability to operate in a fast‑paced, on‑site environment
  • Excellent written and verbal communication skills
  • High attention to detail and strong documentation and organizational skills
  • Ability to manage multiple priorities, regulatory deadlines, and complex compliance issues
Compensation & Benefits
  • Competitive base compensation
  • Annual discretionary bonus
  • Medical insurance
  • Dental insurance
  • 401(k) plan
  • Paid time off
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