ZipRecruiter

Log In

1

Series 4 Jobs (NOW HIRING)

AGC Consulting

PR · On-site

Series 4 and 79 a plus. * Education: Bachelor's degree in Finance, Business Administration, or related field * Experience: 4-5 years in financial services compliance or operations * Familiarity with ...

next page

Showing results 1-20

All JobsSeries 4 Jobs

Series 4 information

See salary details

$11

$27

$45

How much do series 4 jobs pay per hour?

As of Jun 9, 2026, the average hourly pay for series 4 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 the difference between Series 4 vs Series 7?

AspectSeries 4Series 7
Required CredentialsFINRA Series 4 licenseFINRA Series 7 license
Work EnvironmentPrimarily in the field, working with clients on the trading floor or in the fieldOffice-based, conducting securities transactions and client consultations
Employer & Industry UsageUsed by registered options principals and tradersUsed by general securities representatives and stockbrokers

The Series 4 license is mainly for options principals and traders, focusing on options trading and supervision. The Series 7 license is broader, allowing representatives to sell a wide range of securities, including stocks, bonds, and options. While both licenses are essential in the securities industry, the Series 7 offers more comprehensive trading authority, whereas the Series 4 is specialized for options trading supervision.

What are the key skills and qualifications needed to thrive as a Series 4 Registered Options Principal, and why are they important?

To thrive as a Series 4 Registered Options Principal, you need a deep understanding of options trading regulations, supervisory principles, and compliance requirements, along with successful completion of the FINRA Series 4 exam. Familiarity with compliance software, trading platforms, and regulatory reporting systems is typically required. Strong analytical skills, attention to detail, and effective communication set standout professionals apart in this role. These skills and qualifications are crucial to ensure regulatory compliance, mitigate risk, and maintain the integrity of options trading operations.

What job makes $10,000 a month without a degree?

A Series 4 licensed professional, such as a registered options principal, can potentially earn $10,000 or more per month through commissions and fees in the securities industry. These roles typically require passing the Series 4 exam, relevant industry experience, and licensing, but do not require a college degree. Success depends on sales skills, client base, and market conditions.

How does the Series 4 role typically interact with compliance and regulatory teams within a financial services firm?

Professionals holding a Series 4 license, such as Registered Options Principals, frequently collaborate with compliance and regulatory teams to ensure that all options-related activities adhere to industry regulations and firm policies. This collaboration often involves reviewing marketing materials, supervising trading activities, and participating in audits or compliance reviews. Close communication helps proactively address regulatory changes and maintain the integrity of options trading operations. This teamwork is vital to minimizing risk and ensuring smooth, compliant business processes.

What is a Series 4 license and what does a Series 4 professional do?

A Series 4 license, also known as the Registered Options Principal (ROP) license, is a certification required by the Financial Industry Regulatory Authority (FINRA) for individuals who supervise options trading activities at broker-dealer firms. Series 4 professionals are responsible for overseeing options accounts, ensuring compliance with regulations, and managing the activities of options sales personnel. They play a crucial role in making sure that all options transactions and communications adhere to industry rules and firm policies. To obtain the Series 4 license, candidates must pass the Series 4 exam and typically already hold a Series 7 license.
More about Series 4 jobs
What are the most commonly searched types of Series 4 jobs? The most popular types of Series 4 jobs are:
What states have the most Series 4 jobs? States with the most job openings for Series 4 jobs include:
What job categories do people searching Series 4 jobs look for? The top searched job categories for Series 4 jobs are:
Series 4 jobs near you
Infographic showing various Series 4 job openings in the United States as of May 2026, with employment types broken down into 1% Locum Tenens, 68% Full Time, 23% Part Time, and 8% Contract. Highlights an 82% Physical, 4% Hybrid, and 14% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Head of Institutional Derivatives Sales

CTC Lateral - Website & LinkedIn

Chicago, IL • On-site, Remote

$300K/yr

Other

Posted 22 days ago

Job description

Join the CTC Execution Services team as Head of Institutional Derivatives Sales and lead the establishment of our new agency options business from the ground up. You will build and manage our institutional client base, drive revenue growth, and oversee all aspects of our agency options platform. As the founding leader of this desk, you'll combine hands-on execution expertise with business development and team leadership responsibilities to establish CTC as a premier destination for institutional options trading. 

What You'll Do
  • Lead business development efforts to acquire and grow institutional client relationships, driving revenue growth through client acquisition 
  • Oversee the management of complex, multi-leg, and high-volume listed equity and index options orders, ensuring best-in-class routing, execution, and reporting 
  • Build out and manage the sales trading team 
  • Advise clients on market conditions, execution strategies, and order types, leveraging deep market expertise to drive client satisfaction and trading volume 
  • Direct trade operations, monitor open orders, and resolve discrepancies in coordination with middle office and clearing 
  • Stay current on US options market structure and regulatory rules, partnering with Compliance to ensure all activity meets FINRA/SEC requirements 
  • Manage client onboarding, trade reporting, and periodic business reviews to strengthen relationships 
What We're Looking For
  • 10+ years of senior-level experience on sales desk or agency options desk with proven institutional client track record 
  • Demonstrated success in business development and client acquisition within institutional options markets 
  • Advanced proficiency with trading platforms/OMS/EMS and deep understanding of options market structure and execution protocols 
  • Leadership experience developing and managing trading desk personnel 
  • Strong existing relationships within the institutional options community 
  • Works well under pressure in a fast-paced, high-volume agency environment 
  • Ability to collaborate effectively across Trading, Risk, Compliance, and Operations 
  • Active FINRA Series 7, 57 and 63 licenses required; Series 4 or 24 preferred 

COMPENSATION

  • Salary Range: $200-300k, plus a discretionary bonus with upside potential based on the individual's experience and skills, business development success, and firm performance.

Apply