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Series 53 Jobs (NOW HIRING)

Mutual of Omaha

Regional Supervisory Principal

Torrance, CA · On-site +1

$75K - $100K/yr

Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding. * Strong working knowledge of FINRA, SEC, and MSRB rules, with the ...

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. * Strong working knowledge of FINRA, SEC, and MSRB rules, with the ...

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Series 53 information

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$88K

$167.3K

$301.5K

How much do series 53 jobs pay per year?

As of Jun 8, 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 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 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 are some 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 are the key skills and qualifications needed to thrive as a Series 53 Municipal Securities Principal, and why are they important?

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.

Can I find a job at 53?

The Series 53 is a licensing exam for individuals working as municipal securities principals. Age is not a barrier to obtaining this license or pursuing related roles in securities regulation or compliance, provided you meet the experience and educational requirements. Many professionals successfully work in this field at age 53 or older.
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Series 53 jobs near you
Brokerage Specialist - Analyst

Brokerage Specialist - Analyst

T Rowe Price

Colorado Springs, CO • Hybrid

Other

Posted 4 days ago

T. Rowe Price rating

9.1

Company rating: 9.1 out of 10

Based on 21 frontline employees who took The Breakroom Quiz

Job description

Role Summary

Responsible for ensuring risk and compliance standards are developed and followed in contact center. Participates in initiatives, projects, and oversight activities to enhance the quality and efficiency of the contact center. Uses comprehensive knowledge of contact center operations to recommend process changes and improvements to managers.

Responsibilities

  • Oversees and manages contact center oversight activities for vendors and clients. Provides analytical oversight for business product lines.

  • Reviews and ensures compliance with annual procedure audits. Applies understanding of internal controls to help identify and mitigate risk. Gathers data to inform operational results and areas of key risk and business oversight.

  • Communicates with clients or internal staff to process adjustments for client trading and reporting while maintaining compliance standards. Provides oversight for overall trading activity for department.

  • Identifies, coordinates, develops, and deploys moderately complex Learning and Development programs that support more junior contact center team members in the process of obtaining licensing. Provides opportunities for knowledge sharing and skill development. Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions.

Qualifications

Required:

  • Bachelor's degree or the equivalent combination of education and relevant experience AND

  • 2+ years of total relevant work experience

  • SIE, Series 7, Series 63, Series 24, and on an as-needed basis, will support Series 4 and/or Series 52 and Series 53 licenses.

Preferred:

  • Develops communication strategies, fosters relationships, and promotes the department's image.

  • Assessing individual risks for acceptability and handling them within authority.

  • 2 - 3 years Financial Services experience preferred.

  • Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables.

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

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