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Series 53 Jobs (NOW HIRING)

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 ...

FAVARH

Series 53 (Series 52 may also be required) OR obtained within 1 year * Strong working knowledge of FINRA, SEC, and state regulatory frameworks * Proficiency in Microsoft Office and supervisory ...

FAVARH

Principal Review Supervisor

Yuma, AZ

Series 53 (Series 52 may also be required) OR obtained within 1 year * Strong working knowledge of FINRA, SEC, and state regulatory frameworks * Proficiency in Microsoft Office and supervisory ...

FAVARH

Series 53 (Series 52 may also be required) OR obtained within 1 year * Strong working knowledge of FINRA, SEC, and state regulatory frameworks * Proficiency in Microsoft Office and supervisory ...

FAVARH

Principal Review Supervisor

Florida, NY · On-site

Series 53 (Series 52 may also be required) OR obtained within 1 year * Strong working knowledge of FINRA, SEC, and state regulatory frameworks * Proficiency in Microsoft Office and supervisory ...

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Showing results 21-40

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 10, 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 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.
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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 75% Full Time, 21% Part Time, 1% Temporary, and 3% Contract. Highlights an 84% Physical, 3% Hybrid, and 13% Remote job distribution, with an average salary of $167,291 per year, or $80.4 per hour.

Associate Regional Director - Supervision Principal

Cambridge Investment Research, Inc.

Phoenix, AZ • Hybrid

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 7 days ago

Job description

Job SummaryWe are seeking an Associate Regional Director to join our Advocacy and Supervision team. In this role, you will support financial professionals and their offices by providing practical supervisory guidance, relationship management, and compliance-focused support. You will partner with Advocacy and Supervision leadership to help ensure assigned activities align with firm policies, procedures, and regulatory expectations while contributing to a collaborative, service-oriented team environment. This opportunity is ideal for someone who brings sound judgment, strong communication skills, and the ability to balance flexibility, accountability, and compliance in a fast-paced broker-dealer environment.Key Deliverables and Responsibilities

    • Serve as an Office of Supervisory Jurisdiction (OSJ) designee by reviewing and approving correspondence, securities activities, licensing items, Outside Business Activity reports, daily trade blotters, and other supervisory reports for assigned regions.

    • Supervise and collaborate with direct reports, including oversight of securities activities, Special Supervisory Plans, licensing requirements, sales activity, policy communication, and follow-up related to firm procedures.

    • Support the recruiting and financial professional approval process by reviewing complex business model structures, U4 matters, special exceptions, and other items requiring supervisory judgment.

    • Support the supervisory visit process by gathering relevant information, documenting follow-up items, and helping ensure visit-related standards are met.

    • Respond to requests for assistance from existing financial professionals, new financial professionals, recruits, staff, sponsor partners, and other stakeholders by troubleshooting issues and identifying practical solutions.

    • Process exception reporting, document trends, and elevate insights for review by Advocacy and Supervision leadership.

    • Maintain working knowledge of key industry topics, internal programs, departmental procedures, and relevant firm resources.

    • Support and collaborate with direct reports to review supervisory activities and practice efficiency for those under their supervision.

    • Participate in special projects, committees, working groups, and firmwide initiatives that advance strategic goals and process improvements.

    What We Are Looking For

    • Minimum of 4 years of experience in FINRA compliance, securities supervision, or a related broker-dealer supervisory function.

    • Active FINRA Series 7 and Series 24 registrations required.

    • Series 51, Series 53, and/or Series 4 registrations preferred.

    • Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices.

    • Proficiency with Microsoft Office and Adobe Acrobat required; experience with Tableau or similar reporting tools preferred.

    • Demonstrated ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities.

    Location: Phoenix, AZ, or Fairfield, IA - Hybrid in-office 3 days/week

    Why Cambridge?

    Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.

    • Premium benefit package including medical, vision, dental, life and long-term disability insurance

    • Vacation/sick time

    • 401K retirement plan with company matching program

    • Eleven paid holidays

    You can find more details about our comprehensive benefits packagehere.

    Company Overview:

    At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have 45 years of experience supporting independent financial advisors with industry-leading tools, compliance, and transition services. Guided by our core values-integrity, commitment, flexibility, and kindness-we put financial advisors first in every decision we make.

    Cambridge is an internally controlled, growth-focused independent broker-dealer, ranked among the largest and fastest-growing firms in the industry. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor-to-associate ratio to ensure personalized service.

    Our community of over 4,000 producing financial advisors includes diverse business models-RIA, corporate RIA, hybrid, fee-only, and brokerage-and offers a broad selection of investment solutions with no proprietary products.

    For further information about Cambridge, please visit https://www.joincambridge.com/

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