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Series 99 Jobs (NOW HIRING)

Dawn Taylor Associates

Be Seen First

Trade Operations Associate - NYC/Hybrid

New York, NY · On-site

$105K/yr

Series 7or SIE and Series 99 licenses preferred or must obtain within 3 months of employment* Salary $92k-112k + discretionary bonus + excellent benefits Company Description Our client, an ...

Insigneo Securities LLC

Operations Associate

Miami, FL · On-site

FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...

Linium Resources

Accounting Specialist

Jersey City, NJ · On-site

$22.25 - $30/hr

... Series 99 (can be acquired after joining, already held a plus) Strong communication (verbal and written) skills are required for interfacing with management, regulators and auditors Microsoft Office ...

Insigneo Securities LLC

Operations Associate

Miami, FL · On-site

FINRA Series 99 or 7 licenses desired. * Previous experience using NetX360 is a plus. DESIRED SKILLS * Ability to work under pressure and time bound projects. * Ability to work with high volume of ...

SRS Acquiom

Director, Payments Operations

Denver, CO · Hybrid

$125K - $135K/yr

A Series 99 FINRA license is required for this position. Location: This role follows a 1-2 days per week in the office hybrid schedule based in Denver, Colorado Compensation: The salary range for ...

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Series 99 information

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$27

$45

How much do series 99 jobs pay per hour?

As of Sep 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 is a Series 99?

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.

What does a Series 99 do?

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 are the key skills and qualifications needed to thrive in the Series 99 position?

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.

Who needs a Series 99 license?

A Series 99 license is required for individuals responsible for overseeing operations, compliance, and branch management within a brokerage firm. It is typically needed by branch managers, operations professionals, and compliance personnel to perform their duties legally and effectively.
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Series 99 jobs near you
Infographic showing various Series 99 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 $57,583 per year, or $27.7 per hour.

Compliance Analyst

Intercontinental Exchange Holdings, Inc.

Atlanta, GA • On-site

Full-time

Re-posted 10 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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