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Series 9 10 Jobs (NOW HIRING)

Wells Fargo

Supervisory Control Specialist

Minneapolis, MN · On-site

$85K - $133K/yr

Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA ...

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How much do series 9 10 jobs pay per hour?

As of Sep 9, 2026, the average hourly pay for series 9 10 in the United States is $27.68, according to ZipRecruiter salary data. Most workers in this role earn between $19.23 and $29.33 per hour, depending on experience, location, and employer.

What is a Series 9 10?

A Series 9/10 job typically refers to a role as a General Securities Sales Supervisor, responsible for overseeing sales activities in a brokerage firm. Professionals holding these licenses supervise financial advisors, ensure compliance with industry regulations, and manage trading practices. The Series 9 exam focuses on options supervision, while the Series 10 exam covers broader supervisory responsibilities, including sales practices and regulatory compliance. These roles are crucial in maintaining ethical and legal standards within financial institutions.

What are the common responsibilities of a Series 9 10 licensed supervisor in a brokerage firm?

Series 9/10 licensed supervisors are primarily responsible for overseeing the sales practices of registered representatives, ensuring compliance with regulatory requirements, and addressing escalated client issues. They regularly review and approve trading activities, monitor for potential violations, and provide guidance to team members on best practices and compliance standards. The role involves working closely with compliance departments, managers, and advisors, often requiring timely decision-making and clear documentation of supervisory actions. This position is well-suited for professionals who enjoy leading teams and playing a crucial role in upholding ethical standards within financial institutions.

What are the key skills and qualifications needed to thrive in the Series 9 10 position?

To excel as a Series 9/10 licensed professional (often a General Securities Sales Supervisor), you need a deep understanding of securities regulations, broker-dealer operations, and supervisory principles, typically supported by passing the FINRA Series 9 and Series 10 exams. Familiarity with compliance software, trade monitoring systems, and FINRA regulatory frameworks is crucial for overseeing sales activities. Strong leadership, attention to detail, and effective communication skills set top performers apart. These abilities are essential to ensure regulatory compliance, manage teams effectively, and maintain the integrity of financial operations.

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Infographic showing various Series 9 10 job openings in the United States as of September 2026, with employment types broken down into 80% Full Time, 10% Part Time, and 10% Temporary. Highlights an 90% In-person, and 10% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

J.P. Morgan Wealth Management - Private Client Investment Associate Team Leader

Houston, TX • On-site

JPMorgan Chase & Co.
Finance and Insurance • 10K+ employees
Learn more about JPMorgan Chase & Co.external

Other

Posted 26 days ago

JPMorgan Chase & Co. rating

7.9

Company rating: 7.9 out of 10

Based on 500 frontline employees who took The Breakroom Quiz

78th of 176 rated banks

Job description

As a Private Client Investment Associate Team Leader within JPMorgan Wealth Management, you will be responsible for the strategic leadership of a team that manages the recruiting, training, and development of our Private Client Investment Associates. You will excel in a complex, cross-functional organizational structure and have a proven track record of effective communication and influence across business units. This role provides an opportunity to spearhead projects that promote significant organizational change and impact across various business functions, and to streamline team operations to foster a culture of excellence and continuous improvement, aligning with company objectives


Job Responsibilities:

  • Develop and lead the strategic direction for our Advisor Support team, focusing on key areas such as recruitment, onboarding, training, talent development, compensation, and advisor alignment.

  • Serve as a key senior leader within Chase Wealth Management, working closely with Divisional and Regional Field Leadership to deliver top-tier client service.

  • Spearhead projects that drive significant organizational change and impact across various business functions.

  • Streamline team operations to foster a culture of excellence and continuous improvement, aligning with company objectives.

  • Guide and mentor teams to strengthen collaboration between regions, markets, Private Client Investment Associates, and Advisors.


Required Qualifications, Capabilities, and Skills:

  • Strong communication skills with the ability to influence stakeholders at multiple levels.

  • Innovative thinker with a track record of executing ideas.

  • Proven ability to build and retain high-performing teams.

  • Ability to motivate and empower others, fostering a climate of excellence.

  • Demonstrated success in managing multiple priorities in a fast-paced environment and adaptability to change.

  • Valid and active Securities Industry Essential (SIE) exam if registered after October 1, 2018.

  • Valid and active Series 7

  • Valid and active Series 66 (63/65) and Life and Health Insurance license must be obtained within 60 days of employment.

  • Valid and active Series 9/10 or Series 24 license required or must be obtained within 60 days of employment.

  • Travel required 50% of the time.


Preferred qualifications, capabilities and skills:

  • Extensive experience in leading teams within a client-focused setting, preferably in Wealth Management or Consumer Banking.

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