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Series 24 Jobs (NOW HIRING)

Frost Bank

Wealth Sales Coach

Houston, TX · On-site

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

Frost Bank

Wealth Sales Coach

Postoak, TX · On-site

Must maintain active FINRA registrations, including Series 7, Series 63, Series 24 (General Securities Principal), and either Series 65 or Series 66; candidates not currently holding the Series 24 ...

TIAA

Senior Director, Wealth Management - Iowa

Ames, IA · On-site

$155K - $180K/yr

Series 24 or Series 9/10 Physical Requirements * Physical Requirements: Sedentary Work Career Level 10PL Required Qualifications * 8+ years of experience in the financial services industry * FINRA ...

My Investment Path

Compliance Officer

Coral Gables, FL · On-site

Series 24 -- General Securities Principal * Series 27 or Series 28 -- Financial and Operations Principal, as appropriate to the Firm's approved net capital category * Registration with the Firm via ...

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Series 24 information

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$29K

$47.5K

$64.5K

How much do series 24 jobs pay per year?

As of Sep 10, 2026, the average yearly pay for series 24 in the United States is $47,454.00, according to ZipRecruiter salary data. Most workers in this role earn between $42,000.00 and $51,500.00 per year, depending on experience, location, and employer.

What is a Series 24 license?

A Series 24 license, officially known as the General Securities Principal Qualification Examination, allows individuals to supervise or manage branch activities at a broker-dealer. Holders of the Series 24 can oversee compliance, trading, and the sales activities of registered representatives. To obtain this license, candidates must pass the Series 24 exam administered by FINRA. It is typically required for those seeking managerial or supervisory roles in the securities industry.

What are the key skills and qualifications needed to thrive as a Series 24?

To thrive as a Series 24 (General Securities Principal), you need in-depth knowledge of securities regulations, supervisory procedures, and must hold a FINRA Series 24 license, often accompanied by prior securities licenses such as Series 7. Familiarity with compliance monitoring systems, trade surveillance tools, and regulatory reporting platforms is essential. Leadership, critical thinking, and strong communication skills help effectively manage teams and ensure regulatory compliance. These skills and qualifications are vital to maintain firm-wide adherence to industry rules, mitigate risks, and foster a compliant business environment.

What are some common challenges faced by Series 24-licensed supervisors in managing broker-dealer compliance?

Series 24-licensed supervisors often encounter challenges such as staying updated on evolving FINRA regulations, monitoring the activities of registered representatives, and ensuring thorough documentation of supervisory procedures. Balancing compliance requirements with business objectives can be demanding, especially when overseeing multiple branches or teams. Proactive communication, continuous training, and leveraging compliance technology are key strategies to effectively manage these responsibilities and mitigate risks.

What jobs can I get with a Series 24?

A Series 24 license qualifies individuals to supervise and manage securities activities within broker-dealers, including compliance, operations, and branch management roles. Common jobs include Compliance Officer, Branch Manager, and Operations Supervisor, often requiring knowledge of FINRA rules and securities regulations.
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Infographic showing various Series 24 job openings in the United States as of August 2026, with employment types broken down into 1% Internship, 84% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 83% Physical, 4% Hybrid, and 13% Remote job distribution, with an average salary of $47,454 per year, or $22.8 per hour.

Branch Office Examiner

La Vista, NE • On-site, Remote

Osaic
Finance and Insurance • 1 - 5K employees
Learn more about Osaicexternal

$65K - $75K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 20 days ago

Osaic rating

8.1

Company rating: 8.1 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

Job description

Current Employees and Contractors Apply HereOsaic Careers

REMOTE Compliance Risk Opportunity in Financial Services

Branch Office Examiner

Location(s): Open to Qualified Remote Applicants in the United States

Role Type:Full-time

Salary: $65,000 - $75,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Creative/Benefits.

Summary:

Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Our employees are the "how" and the "why" of Osaic's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic's Broker Dealers. The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.

Education Requirements:

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:

  • Conduct approximately 85-100 onsite exams per year.
  • Travel independently up to 50% of the time for onsite branch examinations.
  • Schedule and discuss exam expectations with the OSJ and Satellite branches.
  • Prepare for each exam by generating and analyzing various reports.
  • Review exam findings with OSJ and Satellite Branch Managers.
  • Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
  • Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam.
  • Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.

Basic Requirements:

  • Minimum 3 years Independent Broker-Dealer experience.
  • FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
  • Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
  • Strong verbal and written communications skills required.
  • Basic knowledge and understanding of the Firm's and Regulatory Policies
  • Basic proficiency in information technology and skills used to communicate electronically, organize activities and analyze information.
  • Must be detail-oriented, investigative and the ability to work independently.

Preferred Requirements:

  • Branch Examiner experience.
  • FINRA Series 24, FINRA Series 65 and/ or 66 preferred.

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Current Employees and Contractors Apply Here

What Osaic employees say

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About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

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