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Series 53 Jobs (NOW HIRING)

Green Key Resources

Broker Dealer CCO

Manhattan, NY · On-site

Series 53 preferred and expected to be obtained within approximately 12-14 months if applicable. * Strong knowledge of FINRA, SEC, and state securities rules and regulations. * Demonstrated ...

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 ...

Corebridgefinancial

Supervisory Principal

Houston, TX · Hybrid

FINRA Series 53 encouraged * Series 66 (or Series 63 & 65) preferred. Work Location This position is based in CorebridgeFinancial's Houston, TXoffice 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 Sep 6, 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 securities underwriting, trading, and sales activities within a firm. This license is often required for those working in municipal securities firms or departments dealing with state and local government securities.
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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 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 $167,291 per year, or $80.4 per hour.

Compliance Officer

Larson Financial Holdings, LLC

Saint Louis, MO • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 16 days ago

Job description

Description:

The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures. In addition to other duties as assigned, COs help maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures and supporting internal and external audits. COs may be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.


Reports to: Chief Compliance Officer


Required Qualifications and Experience:

  • Bachelor’s Degree or Higher
  • Series 7, Series 66(63/65) and Series 24 or Series 9/10
  • 5+ years’ experience in financial services
Requirements:

Desired Qualifications and Competencies:

  • Series 53, Series 27 or Series 28 and life and health insurance license
  • Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS
  • Experience with private equity, variable insurance or other complex products
  • Experience developing and implementing compliance programs
  • High levels of integrity, confidence, self-awareness and a sense of humor
  • Team player with the ability to work with minimal supervision
  • Accountable and willing to hold others accountable
  • Critical thinker with strong analytical and investigative skills
  • Able to easily grasp and comprehend risks
  • Able to handle sensitive and confidential information with prudence and care
  • Adaptable to working in a fast-paced environment
  • Strong communication and conflict resolution skills
  • Strong organization skills and attention to detail?
  • Continuous improvement mindset
  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)
  • Other duties as assigned

Why Join Larson Financial Group? We offer a competitive benefits package and an engaging work culture that supports personal and professional growth:

  • Profit Sharing Bonus Program
  • 401(k) with Employer Match (up to 4%)
  • Comprehensive Medical, Dental, and Vision Insurance
  • Company-paid Long-term Disability, Life Insurance, and EAP
  • Voluntary Short-term Disability and Supplemental Insurance
  • Generous PTO (112 hours after 90 days) + 12 Paid Holidays
  • Training, Development, and Educational Opportunities
  • Company Events, Recognition Awards, and Team Activities