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Series 34 Jobs (NOW HIRING)

Pillar

Head of Compliance

New York, NY · On-site

$137K - $184K/yr

Legal background (JD) or relevant certifications such as Series 3 or Series 34 Benefits * Competitive Salary & Equity * 401(k) Program * Health, Dental, Vision and Life Insurance * Unlimited PTO and ...

Pillar

Head of Compliance

New York, NY · On-site +1

$137K - $184K/yr

Legal background (JD) or relevant certifications such as Series 3 or Series 34 Benefits * Competitive Salary & Equity * 401(k) Program * Health, Dental, Vision and Life Insurance * Unlimited PTO and ...

San Blas Securities

Financial Advisor Series 7

Albany, NY · Remote

$100K - $500K/yr

Series 7 (6) and 63 licenses are required * Self-starter with a strong work ethic and ability to work independently * Portable, existing, client relationships are a requirement San Blas Securities is ...

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Lancesoft

IT Project Manager

Chattanooga, TN · On-site

$60 - $86/hr

This position is required to perform necessary training as documented in the SPP 34 series. This IT project manager position has SOX Control requirements for both the employee and the manager. * This ...

San Blas Securities

Financial Advisor Series 7

Richmond, VA · Remote

$100K - $500K/yr

Series 7 (6) and 63 licenses are required * Self-starter with a strong work ethic and ability to work independently * Portable existing client relationships are a requirement San Blas Securities is ...

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Ambition 24Hours Inc

Local Travel LPN

Bloomfield, NM · On-site

$29.75 - $34.75/hr

... Rate $29.75 - $34.75 per hour SHIFTS / AVAILABILITY Shift Period 17:00-05:30 Days Tuesday ... Agency staff must have completed the original or updated COVID-19 vaccine series or present a ...

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Showing results 1-20

All JobsSeries 34 Jobs

Series 34 information

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$10

$21

$47

How much do series 34 jobs pay per hour?

As of Jul 5, 2026, the average hourly pay for series 34 in the United States is $21.91, according to ZipRecruiter salary data. Most workers in this role earn between $16.35 and $23.56 per hour, depending on experience, location, and employer.

How hard is it to get a job at FINRA?

Getting a Series 34 license, which qualifies individuals to supervise proprietary trading, requires passing the Series 34 exam, which is considered challenging due to its comprehensive content. Employers often look for relevant experience, industry knowledge, and a clean regulatory record, making competition for roles in this area fairly competitive.

What professions make $500,000 a year?

Professions that can earn $500,000 annually include senior financial advisors, investment bankers, corporate executives, specialized surgeons, and successful entrepreneurs. These roles often require advanced skills, extensive experience, and sometimes certifications or licenses. Compensation varies based on industry, location, and individual performance.

What is the difference between Series 34 vs Series 24?

AspectSeries 34Series 24
Required CredentialsSeries 34 license, Series 24 qualificationSeries 24 license, Series 34 qualification
Work EnvironmentFinancial firms, compliance departmentsFinancial firms, compliance departments
Employer & Industry UsageBroker-dealers, investment firmsBroker-dealers, investment firms
Common Search & ComparisonSeries 34 vs Series 24

The Series 34 and Series 24 licenses are both essential for compliance professionals in the financial industry. The Series 34 focuses on municipal securities, while the Series 24 covers general securities supervision. Both roles are vital in broker-dealer firms, often overlapping in responsibilities but differing in scope and specialization.

What jobs can I get with series 3?

The Series 3 exam qualifies individuals to work as a registered commodities representative or futures trader, enabling roles such as commodity broker, futures commission merchant, or trading advisor. These positions typically involve trading commodities, futures, or options and require knowledge of market regulations and trading platforms.

What professions make 200,000 a year without a degree?

Certain high-paying professions such as commercial pilots, real estate brokers, and sales managers can earn $200,000 or more annually without requiring a college degree. Success in these roles often depends on experience, skills, licensing, or certifications rather than formal education.
More about Series 34 jobs
What cities are hiring for Series 34 jobs? Cities with the most Series 34 job openings:
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What job categories do people searching Series 34 jobs look for? The top searched job categories for Series 34 jobs are:
Series 34 jobs near you
Infographic showing various Series 34 job openings in the United States as of June 2026, with employment types broken down into 1% Internship, 1% As Needed, 66% Full Time, 31% Part Time, and 1% Contract. Highlights an 98% Physical, and 2% Remote job distribution, with an average salary of $45,575 per year, or $21.9 per hour.
Director, Futures and Forex Compliance

Director, Futures and Forex Compliance

Charles Schwab Inc.

Chicago, IL • On-site

$150K - $200K/yr

Full-time

Posted 10 days ago

Job description

Your Opportunity
At Schwab, we believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
The Compliance Director is a senior leader responsible for the design, implementation, and oversight of Schwab's Compliance Program for its Futures Commission Merchant (FCM) and Forex Dealer Member (FDM) activities. This role requires enterprise-wide thinking, exceptional collaboration, and the ability to operate across regulated entities and emerging areas, including digital assets and prediction markets.
The Compliance Director leads the compliance risk management program for Schwab's FCM and FDM businesses, ensuring alignment with Schwab's strategic objectives and regulatory requirements. This leader models Schwab's values, drives collaboration across Compliance, Legal, Risk, and business partners, and is accountable for the effectiveness of the compliance program.
Measures of Success
  • Personal ownership and accountability for assigned compliance risk management programs.
  • Evidence of enterprise-wide thinking and collaboration.
  • Success in attracting, empowering, and developing a diverse team.
  • Effective engagement with senior leaders and regulators.

Core Responsibilities
Regulatory Oversight
  • Administer and oversee compliance policies and procedures for FCM and retail foreign exchange activities, ensuring compliance with the Commodity Exchange Act, and NFA exchange rules.
  • Take reasonable steps to ensure compliance with the Act and CFTC regulations related to the FCM and retail foreign exchange business.
  • In consultation with the Board of Directors or Senior Officers, identify, manage, and mitigate material conflicts of interest arising from the firm's activities as a registered FCM and FDM.
  • Support the firm's designated CCO under CFTC Rule 3.3, including preparation, signing, filing and certification of the annual CCO report.
  • Act as liaison to the internal team who interfaces with regulators, exchanges, and self-regulatory organizations (SROs).

Compliance Program Leadership
Alongside existing team, develop, implement, and maintain a comprehensive compliance program covering:
  • Futures and options on futures trading and clearing
  • Retail foreign exchange and related activities
  • Customer protection and segregation requirements
  • OTC Cleared Swaps activities
  • BSA/AML, fraud, and financial crimes compliance and controls (in partnership with Financial Crimes and Risk Management)
  • Ethics, conflicts of interest, conduct risk, and market integrity

Monitoring, Surveillance, Testing, and Remediation
  • Implement monitoring, surveillance, and testing frameworks across trading and clearing.
  • Oversee identification, escalation, and remediation of compliance issues.
  • Establish and maintain written policies and procedures reasonably designed to handle, respond to, remediate, re-test, and resolve noncompliance issues.
  • Ensure robust documentation, audit readiness, and regulatory reporting.

Governance and Escalation
  • Escalate material risks, regulatory developments, and compliance deficiencies.
  • Ensure appropriate governance over new products, including risk assessments and formal compliance sign-off.

What you have
Required Qualifications:
  • 10+ years in financial services compliance, with significant experience in futures, foreign exchange, derivatives, and FCM & FDM compliance.
  • Deep expertise in futures, foreign exchange, clearing, and customer protection rules, including CEA and NFA rules and regulations.
  • Strong experience engaging on regulatory inquiries and other matters with the CFTC, NFA, and exchanges.
  • Very strong experience leading and managing regulatory examinations, including direct engagement with regulators, coordinating responses, and driving remediation of exam findings.
  • Demonstrated ability to lead and operate with independence and authority in a highly regulated environment.
  • Ability to translate complex regulatory frameworks into operational controls.
  • Exceptional written and verbal communication skills, with the ability to translate complex regulatory information for business stakeholders.
  • Excellent judgment in ambiguous and evolving regulatory areas.
  • Series 3 license, or ability to obtain.

Preferred Qualifications:
  • Series 34 license, or ability to obtain.
  • JD.

Apply