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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 ...

The State of Arizona

$24.44/hr

Highway Operations Worker: $18.19 Grade 14 Highway Operations Worker is the entry level position for the Highway Operations Technician series. The scope of the duties and basic tasks to be learned ...

US Department of the Air Force

$63K/yr

... GS-1529 Series. BASIC REQUIREMENTS FOR ALL GRADE LEVELS: Bachelor's degree: that included 24 ... GS-14: Applicants must have at least one (1) year of specialized experience at the next lower grade ...

US Department of the Air Force

$63K/yr

... GS-1529 Series. BASIC REQUIREMENTS FOR ALL GRADE LEVELS: Bachelor's degree: that included 24 ... GS-14: Applicants must have at least one (1) year of specialized experience at the next lower grade ...

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All JobsSeries 14 Jobs

Series 14 information

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$11K

$78.3K

$118K

How much do series 14 jobs pay per year?

As of Jul 7, 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 a high paying job at 14?

At age 14, high-paying jobs are limited due to child labor laws, but some options include working as a babysitter, pet sitter, or in retail or food service with flexible hours. These roles typically pay minimum wage or slightly above, and earning potential increases with experience and responsibility. Certifications like CPR or food safety can improve job prospects and pay rates for teens.

What is Finra series 14?

The FINRA Series 14 exam, also known as the Securities Trader Qualification Examination, is a licensing test required for individuals who supervise or manage proprietary securities trading activities. Passing this exam qualifies candidates to oversee trading operations and ensure compliance with industry regulations. It typically involves knowledge of trading procedures, regulations, and firm operations.

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.

What jobs pay $500,000 a year in the US?

High-paying jobs that can reach or exceed $500,000 annually include senior roles such as investment bankers, corporate executives, specialized surgeons, and successful entrepreneurs. These positions often require advanced degrees, extensive experience, and strong industry networks. Compensation varies based on location, performance, and company size.

What is the pass rate for the Series 14 exam?

The Series 14 exam, which qualifies individuals to supervise and manage securities trading, has a pass rate typically around 70-75%. Success depends on thorough preparation, understanding of regulatory rules, and familiarity with the exam content. Candidates often prepare using study guides, practice exams, and training courses to improve their chances of passing.
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What cities are hiring for Series 14 jobs? Cities with the most Series 14 job openings:
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Series 14 jobs near you
Infographic showing various Series 14 job openings in the United States as of July 2026, with employment types broken down into 1% As Needed, 68% Full Time, 26% Part Time, 1% Temporary, and 4% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $78,333 per year, or $37.7 per hour.
Compliance Officer - Broker Dealer / RIA

Compliance Officer - Broker Dealer / RIA

Robert Half

New York, NY • On-site

$150K - $200K/yr

Full-time

Posted 3 days ago

Job description

Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan, New York. Our client requires 7+ years of Compliance experience at a Broker Dealer or an RIA, with active FINRA Series 14 License and knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office.


This role will provide regulatory oversight and advisory support across multiple business lines, with a primary focus on the firm’s registered broker-dealer activities. Reporting to the Chief Compliance Officer, the successful candidate will act as a trusted advisor to senior stakeholders, ensuring the firm operates in compliance with U.S. securities regulations (SEC, FINRA) while maintaining alignment with global compliance standards.


Responsibilities:

Regulatory Advisory & Oversight:

  • Provide day-to-day compliance advice across business lines, including broker-dealer (15a-6), specialist lending, and global affiliates
  • Advise on SEC and FINRA regulations, including cross-border broker-dealer requirements
  • Act as a trusted advisor on complex, time-sensitive regulatory matters

Compliance Framework & Risk Management:

  • Identify, assess, and prioritize compliance and regulatory risks
  • Maintain and enhance policies, procedures, and internal controls
  • Ensure adherence to market conduct, conflicts management, and information barrier frameworks
  • Oversee compliance issue tracking, escalation, and remediation

AML, KYC & Onboarding:

  • Oversee client onboarding processes, including AML/KYC due diligence
  • Support and enhance the firm’s AML program

Governance, Reporting & Audits:

  • Manage record-keeping obligations and regulatory reporting requirements
  • Deliver management reporting on compliance risks and emerging regulatory themes
  • Support internal and external audits, ensuring readiness and remediation of findings
  • Liaise with regulators and support regulatory examinations and inquiries

Business Enablement:

  • Support new business initiatives, transactions, and product approvals
  • Provide compliance input on strategic projects and business change initiatives

Monitoring & Employee Oversight:

  • Oversee personal account dealing and employee compliance activities
  • Support licensing and registration processes

Stakeholder & Global Collaboration:

  • Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors
  • Work closely with global Compliance teams to ensure consistency

Requirements:

  • 7+ years of Compliance experience at a Broker Dealer or an RIA
  • Active FINRA Series 14 License
  • Knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring
  • Bachelor’s Degree


The Compliance Officer role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role, and are eligible to work in the United States. The salary is dependent on experience, the range is $150-200k base plus 20+% target bonus. If your profile matches the above criteria, please email me directly and add me on LinkedIn, Trishan Khareghat

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About Robert Half

Sourced by ZipRecruiter

Founded in 1948, Robert Half pioneered the idea of professional talent solutions to connect opportunities at great companies with highly skilled job seekers. As business needs changed, we evolved to offer specialized talent solutions for finance and accounting, technology, administrative and customer support, creative and marketing, and legal fields. In 2002, we introduced our subsidiary, Protiviti, a global independent risk consulting and internal audit service, to support companies as they faced more strategic business challenges.

Industry

Recruiting and staffing services

Company size

10,000+ Employees

Headquarters location

San Ramon, CA, US

Year founded

1948

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