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Series 53 Jobs in Decatur, GA (NOW HIRING)

Osaic

Equity Trader

Atlanta, GA · Hybrid

$53K - $65K/yr

Role Type: Full-time Salary: $53,000 - $65,000 per year+ annual performance-based bonus Actual ... FINRA Series 7 & 63 license required Proficiency at Microsoft Word, Excel, Internet Explorer ...

Osaic

IA Processing Specialist

Atlanta, GA · Hybrid

$53K - $55K/yr

Role Type: Full-time, Non-Exempt Salary: $53,000-$55,000 per year + annual performance-based bonus ... exam FINRA Series 7 Experience with Envestnet / Wealth Management Platform Equal Opportunity ...

Innovative Outsourcing

Financial Advisor

Alpharetta, GA · On-site

$130K - $150K/yr

Series 65 and/or Series 7 & Series 66 / Life and Health License for GA As a Financial Advisor with Your Wealth Advisors, you'll have the opportunity to create customized financial plans while ...

Northwestern Mutual

Financial Advisor

Atlanta, GA · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Atlanta, GA · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Atlanta, GA · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Atlanta, GA · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Atlanta, GA

$137K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Alpharetta, GA · On-site

$137K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

Northwestern Mutual

Financial Advisor

Atlanta, GA · On-site

$61K - $250K/yr

Life/Accident & Health Certifications, Securities Industry Essentials (SIE), and Series 6, 7, and 63. Northwestern Mutual provides pre-payment/reimbursement* for course tuition fees and books.

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Showing results 21-40

All JobsSeries 53 JobsSeries 53 Jobs in Decatur, GA

Series 53 information

See Decatur, GA salary details

$85.9K

$163.3K

$294.4K

How much do series 53 jobs pay per year?

As of Aug 12, 2026, the average yearly pay for series 53 in Decatur, GA is $163,332.00, according to ZipRecruiter salary data. Most workers in this role earn between $140,600.00 and $164,500.00 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 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 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 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.
What are popular job titles related to Series 53 jobs in Decatur, GA? For Series 53 jobs in Decatur, GA, the most frequently searched job titles are:
What job categories do people searching Series 53 jobs in Decatur, GA look for? The top searched job categories for Series 53 jobs in Decatur, GA are:
What cities near Decatur, GA are hiring for Series 53 jobs? Cities near Decatur, GA with the most Series 53 job openings:
Series 53 jobs near you

Capital Markets Compliance Analyst- Muncipal Securities

Regions Financial Corporation

Atlanta, GA • On-site

$95K - $121K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 3 days ago

Regions Bank rating

8.2

Company rating: 8.2 out of 10

Based on 159 frontline employees who took The Breakroom Quiz

51st of 171 rated banks

Job description

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice.
Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system.
Job Description:
At Regions, the Capital Markets Compliance Analyst performs compliance tasks and deals with compliance issues with limited supervision.
Primary Responsibilities
  • Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
  • May also prepare and review compliance reports for management
  • May provide guidance and direction to less experienced analysts

This position is exempt from timekeeping requirements under the Fair Labor Standards act and is not eligible for overtime pay.
This position is incentive eligible.
Requirements
  • Bachelor's degree
  • Five (5) years banking experience, with a concentration in audit, compliance or regulatory functions

Skills and Competencies
  • Ability to analyze data and facts
  • Ability to learn additional systems as needed
  • Ability to work with limited supervision
  • Demonstrated self-starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal and financial risks to the company
  • Excellent organizational skills
  • Proficient with Microsoft Products including Word, Excel, Access
  • Strong communication and organizational skills
  • Strong verbal and written communication skills and strong interpersonal skills

Candidates with FINRA Series 52/53 Municipal Securities, or the ability to obtain, are very strongly preferred.
This (1) position will require a minimum of 4 days in our Birmingham, AL, Atlanta, GA, or Charlotte, NC corporate office.
This position may be filled at a higher level depending on the candidate's qualifications and relevant experience.
Position Type
Full time
Compensation Details
Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.
The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.
Job Range Target:
Minimum:
$95,013.77 USD
Median:
$121,936.50 USD
Incentive Pay Plans:
This role is eligible to participate in a discretionary incentive plan. Employees have the potential to receive a discretionary award based on performance against defined metrics and goals.
Benefits Information
Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.
  • Paid Vacation/Sick Time
  • 401K with Company Match
  • Medical, Dental and Vision Benefits
  • Disability Benefits
  • Health Savings Account
  • Flexible Spending Account
  • Life Insurance
  • Parental Leave
  • Employee Assistance Program
  • Associate Volunteer Program

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please click or copy the link below to your browser.
https://www.regions.com/about-regions/welcome-portal/benefits
Location Details
Atlanta Midtown
Location:
Atlanta, Georgia
Equal Opportunity Employer/including Disabled/Veterans
Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.

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