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$11

$27

$45

How much do series 99 jobs pay per hour?

As of Jul 1, 2026, the average hourly pay for series 99 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 are the main responsibilities of a Series 99 Operations Professional on a typical workday?

Series 99 Operations Professionals are primarily responsible for the day-to-day processing and oversight of client accounts, ensuring trades are settled accurately and that regulatory requirements are met. You may handle exception processing, reconcile discrepancies, and assist in preparing reports for internal and regulatory review. The role often requires close collaboration with compliance, front office, and IT departments to resolve issues quickly and ensure smooth operations. This work environment is fast-paced and detail-oriented, providing opportunities to learn about multiple facets of the financial industry and advance into supervisory or specialized operations roles over time.

What can you do with a series 99 license?

A Series 99 license qualifies individuals for operational roles within a securities firm, such as back-office functions, compliance, and support positions. It is often required for roles involving client account processing, trade settlement, and recordkeeping, and typically involves passing a specific exam and meeting employment requirements. The license helps ensure compliance with industry regulations and supports a career in securities operations.

Is series 99 a hard exam?

The Series 99 exam is considered moderately challenging and requires a solid understanding of securities operations, compliance, and industry regulations. Candidates typically prepare through dedicated study and review of exam content, which covers topics such as trading, settlement, and recordkeeping. Success depends on prior knowledge and thorough preparation.

What professions make 200,000 a year without a degree?

The Series 99 is a professional designation for securities operations professionals, but generally, high-paying jobs that can reach $200,000 annually without a degree include roles such as commercial pilots, real estate brokers, sales managers, and certain tech roles like software developers with extensive experience. Success in these fields often depends on skills, certifications, or experience rather than formal degrees.

What are the key skills and qualifications needed to thrive in the Series 99 position, and why are they important?

To thrive as a Series 99 (Operations Professional), you need strong analytical skills, attention to detail, and a solid understanding of broker-dealer operations, typically supported by passing the FINRA Series 99 exam. Familiarity with compliance software, trade settlement systems, and regulatory reporting tools is common in this role. Excellent organizational skills, integrity, and clear communication help you excel when working with cross-functional teams. These qualities ensure operational efficiency, compliance with regulations, and the ability to support the seamless functioning of financial services firms.

What jobs make $3,000 a day?

High-level financial roles such as hedge fund managers, investment bankers, and senior traders can earn $3,000 or more per day through bonuses, commissions, and profit sharing. These positions typically require extensive experience, advanced degrees, and strong analytical skills, often working in fast-paced, high-stakes environments.

What is a Series 99 job?

A Series 99 job typically involves working in the operations, administrative, or back-office functions of a financial services firm. This can include roles related to trade settlements, compliance, account management, or regulatory reporting. Professionals holding a Series 99 registration are responsible for ensuring the smooth operation of financial transactions and adherence to regulatory requirements. The qualification is required by FINRA for those performing or supervising covered operations functions within a broker-dealer.

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Series 99 jobs near you
Compliance Analyst

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Posted 8 days ago

Job description

Overview
Job Purpose
Intercontinental Exchange, Inc. (ICE), a global provider of financial services, is seeking a Compliance Analyst to perform compliance monitoring and other compliance related functions for ICE Bonds Securities Corporation ("ICE Bonds"), an SEC-registered broker dealer and a member of FINRA and the MSRB which operates multiple fixed income ATSs and offers related broker dealer services to its institutional customer base.
The Compliance Analyst will be responsible for the review of electronic communications to ensure compliance with regulations from multiple regulators. In addition, the Compliance Analyst will be responsible for various compliance functions related to reporting, onboarding and registration.
The Compliance Analyst must be analytical, demonstrate professional accountability, and communicate clearly and concisely. In order to succeed in this role, the candidate will need to possess the ability to learn quickly and be willing to acquire additional responsibilities.
This position will report to the Chief Compliance Officer of ICE Bonds and responsibilities include, but are not limited to, the following:
Responsibilities
  • Monitor electronic communications of covered persons to ensure compliance with company policies and regulatory guidelines.
  • Assist in customer onboarding, including the performance of customer due diligence, review of new account documentation and ongoing monitoring of customers in accordance with the firm's policies and procedures and applicable regulatory requirements.
  • Review and completion of various written supervisory procedures related to US broker dealer regulations.
  • Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
  • Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
  • Assist in the coordination of registration exams and employee registration with relevant regulator(s).
  • Manage continuing education for Associated Persons.
  • Participate in the preparation of regulatory reports/documents, as applicable.

Knowledge and Experience
  • Bachelor's Degree.
  • FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99 - If not already obtained, required to take and pass the FINRA SIE Exam within 3 months of employment and required to take and pass either the FINRA Series 7 or Series 99 within 6 months of employment;
  • Strong analytical and organizational skills with acute attention to detail.
  • Excellent verbal and written communication skills.
  • Self-motivated with ability to multi-task and work independently with confidential and sensitive information.
  • Ability to work effectively in a fast-paced, sometimes stressful environment.
  • Strong computer skills preferred in Microsoft Office: Word, PowerPoint & Excel.

Preferred Experience
  • Experience in a fixed income securities related business
  • FINRA Securities Industry Essentials Exam (SIE) and Series 7 or Series 99

#LI-HR1 #LI-ONSITE
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Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.

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