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Series 53 Jobs (NOW HIRING)

Mutual of Omaha

Regional Supervisory Principal

Omaha, NE · On-site +1

$75K - $100K/yr

Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding. The Series 53 license is required upon hire or must be obtained up ...

Cetera

Senior Supervision Specialist

Dallas, TX · Hybrid

... Series 53 required (or ability to obtain within 6 months of hire if not already held) 5+ years of progressive securities industry experience , including significant compliance and supervisory ...

Cetera

Senior Supervision Specialist

Dallas, TX · Hybrid

... Series 53 required (or ability to obtain within 6 months of hire if not already held) 5+ years of progressive securities industry experience , including significant compliance and supervisory ...

lincoln

Supervising Principal

Fort Washington, PA · On-site

Series 7, Series 24, Series 53, and Series 66 (or equivalent, i.e. Series 63 & Series 65) licenses required. * Series 9/10 preferable. * Series 4 helpful, but not required. Lincoln Investment is an ...

Corebridge Financial

Supervisory Principal

Houston, TX · On-site

FINRA Series 53 encouraged * Series 66 (or Series 63 & 65) preferred. Work Location This position is based in Corebridge Financial's Houston, TX office and is subject to our hybrid working policy ...

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All JobsSeries 53 Jobs

Series 53 information

See salary details

$88K

$167.3K

$301.5K

How much do series 53 jobs pay per year?

As of Aug 16, 2026, the average yearly pay for series 53 in the United States is $167,291.00, according to ZipRecruiter salary data. Most workers in this role earn between $144,000.00 and $168,500.00 per year, depending on experience, location, and employer.

What is a Series 53 license?

A Series 53 license is a professional qualification required for individuals who supervise the municipal securities activities of broker-dealers in the United States. The Series 53 exam, administered by the Municipal Securities Rulemaking Board (MSRB), tests knowledge of MSRB rules, federal securities laws, and regulatory requirements related to municipal securities. Passing this exam allows a person to act as a Municipal Securities Principal, overseeing compliance and operations related to municipal bond transactions.

What skills and qualifications are needed to thrive as a Series 53 Municipal Securities Principal?

To thrive as a Series 53 Municipal Securities Principal, you need a deep understanding of municipal securities regulations, compliance procedures, and supervisory principles, typically validated by passing the Series 53 exam and holding prior securities licenses like Series 7 or Series 52. Familiarity with regulatory systems such as MSRB G-Systems and compliance monitoring tools is essential. Exceptional attention to detail, ethical judgment, and strong leadership skills help ensure effective supervision and adherence to legal standards. These competencies are crucial for maintaining regulatory compliance, minimizing risk, and upholding the integrity of municipal securities transactions.

What are common challenges faced by professionals holding the Series 53 license when supervising municipal securities activities?

One of the main challenges for Series 53 professionals is staying current with the constantly evolving regulations and compliance requirements related to municipal securities. They must ensure that all transactions and supervisory procedures are in line with MSRB rules, which can be complex and subject to frequent updates. Additionally, balancing supervisory responsibilities across multiple departments and maintaining effective communication with registered representatives can be demanding. Strong organizational skills and ongoing education are essential for success in this supervisory role.

What is the difference between Series 53 vs Series 7?

AspectSeries 53Series 7
Primary FunctionMunicipal securities dealer registration and complianceGeneral securities representative, including stocks and bonds
Required CertificationsSeries 53Series 7
Work EnvironmentMunicipal securities firms, regulatory complianceBroker-dealers, securities firms, retail and institutional sales
Industry UsagePrimarily in municipal securitiesBroader securities industry, including stocks, bonds, options

The Series 53 and Series 7 exams are both essential licenses in the securities industry. The Series 53 focuses on municipal securities dealer registration and compliance, while the Series 7 covers a wide range of securities transactions. Professionals often pursue Series 53 to specialize in municipal bonds, whereas Series 7 is more comprehensive for general securities trading. Understanding these differences helps candidates choose the right license based on their career focus in the securities industry.

What does the Series 53 allow you to do?

The Series 53 license allows individuals to supervise and oversee municipal securities activities, including the operation of municipal securities principal functions. It qualifies professionals to manage municipal bond sales, trading, and related activities within a municipal securities firm. This license is often required for those working in municipal securities supervision and compliance roles.
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Series 53 jobs near you
Infographic showing various Series 53 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 $167,291 per year, or $80.4 per hour.

Regional Supervisory Principal

Mutual of Omaha

Omaha, NE • On-site, Remote

$75K - $100K/yr

Full-time

Retirement, PTO

This job post has expired today. Applications are no longer accepted.

Mutual Of Omaha rating

8.7

Company rating: 8.7 out of 10

Based on 60 frontline employees who took The Breakroom Quiz

70th of 308 rated insurance

Job description

Regional Supervisory Principal

Apply now Job no: 504605
Work type: Full Time Regular
Location: Hybrid, Arizona, California, Colorado, Florida, Indiana, Iowa, Kansas, Minnesota, Missouri, Nebraska, South Carolina, Texas, Virginia, Wisconsin
Categories: Legal/Compliance

Join a team that helps drive advisor success by supporting Mutual of Omaha Advisors' sales activities across assigned regions. In this role, you'll work closely with Registered Representatives and Insurance Agents, providing guidance on compliance, sales strategy, and practice management programs. You'll also serve as an expert resource on industry and distribution topics, offering insight and support that enables advisors to focus on growing their practices. 
 
Omahabased candidates are strongly preferred. Candidates located near offices in AZ, CA, CO, FL, IA, IN, KS,  MN, MO, SC, TX, VA, or WI may also be considered. This role requires working in a hybrid environment and is not fully remote. 

WHAT WE CAN OFFER YOU:

  • Estimated Salary:  $75,500- $100,000, plus annual bonus opportunity. 
  • 401(k) plan with a 2% company contribution and 6% company match.
  • Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
  • Applicants for this position must not now, nor at any point in the future, require sponsorship for employment. 

WHAT YOU'LL DO:

  • Oversee and supervise sales activity for Registered Representatives and Offices of Supervisory Jurisdiction within an assigned region.
  • Partner with advisors and agents to support sales execution, financial planning strategies, and practice management initiatives.
  • Review and approve new accounts, transactions, correspondence, and outside business activities to ensure suitability, compliance, and firm standards.
  • Monitor supervisory reports, investigate exceptions and audit findings, and take appropriate corrective action.
  • Serve as a trusted supervisory and compliance resource, providing guidance, training support, and coordinating office inspections as needed. 

WHAT YOU'LL BRING:

  • 5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
  • Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding. The Series 53 license is required upon hire or must be obtained up to six months of employment.
  • Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.
  • Proven ability to work independently, manage complex priorities, and make sound, rulebased decisions under pressure while maintaining confidentiality and professionalism.
  • Excellent communication and leadership skills, with the ability to engage diverse stakeholders, support issue resolution, and travel up to 10% with flexibility across time zones.
  • You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
  • Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.  

PREFERRED:

  • 5-10 years of supervision/compliance experience within securities industry 
    Registration as a FINRA Registered Options Principal. 

#mutualofomaha

We value diverse experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply! 

If you have questions about your application or the hiring process, email our Talent Acquisition area at careers@mutualofomaha.com. Please allow at least one week from time of applying if you are checking on the status.

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Mutual of Omaha only accepts applications from mutualofomaha.com/careers. Legitimate communications will come from '@mutualofomaha.com.' We never request sensitive information or extend job offers without conducting interviews. For more details, check our Hiring FAQs. Stay alert for scams and apply securely!

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Advertised: Jul 28, 2026 02:00 PM Central Daylight Time
Applications close:

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