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Series 99 Jobs (NOW HIRING)

Chase

Trading Services Associate I

Newark, DE · On-site

$15.50 - $20.50/hr

Professional certification in securities or financial operations is a plus (Series 99/SIE) About Us JPMorgan Chase, one of the oldest financial institutions, offers innovative financial solutions to ...

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

SIE + Series 99 (or willingness to obtain) * Data analysis skills and ability to communicate insights effectively * Ability to create and deliver presentations to management and stakeholders ...

CLSA

Accountant, Finance

New York, NY · On-site

$70K - $90K/yr

Series 99 preferred, required within 3 months of start date * Series 27 FINOP license (within 18 months of hire) for career progression * Experience in a broker/dealer with full range of products and ...

JP Morgan Chase

Trading Services Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

Series 99 license required, or must acquire the Series 99 certification within the first 120 days * Ability to mentor junior staff and contribute to a collaborative team environment * High degree of ...

JPMorgan Chase & Co.

Cash and Controls Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

SIE + Series 99 (or willingness to obtain) * Data analysis skills and ability to communicate insights effectively * Ability to create and deliver presentations to management and stakeholders ...

JPMorgan Chase & Co

Trading Services Associate I

Newark, DE · On-site

$15.50 - $20.75/hr

Series 99 license required, or must acquire the Series 99 certification within the first 120 days * Ability to mentor junior staff and contribute to a collaborative team environment * High degree of ...

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Series 99 information

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How much do series 99 jobs pay per hour?

As of Aug 20, 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 84% Full Time, 13% Part Time, 1% Temporary, and 2% Contract. Highlights an 84% Physical, 4% Hybrid, and 12% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.

Associate I - Asset Services Income & Corporate Actions

JPMorgan Chase & Co.

Newark, DE • On-site

Full-time

Medical, Retirement

Re-posted 3 days ago

JPMorgan Chase & Co. rating

8.0

Company rating: 8.0 out of 10

Based on 495 frontline employees who took The Breakroom Quiz

72nd of 171 rated banks

Job description


The Markets Asset Servicing Team is responsible for the processing of global income and Corporate Actions events across multiple securities types, including equities and fixed income products held by the firm and its Prime Brokerage clients. Team members work closely with trading desks, middle office, finance teams, and settlements, gaining insight into other operations and a high-level understanding of J.P. Morgan's diverse product range.
As an Associate I - Team Lead within the Markets Asset Servicing Team, you will coordinate day-to-day operations, support junior team members, and act as a point of contact for operational queries. You will be able to expand your knowledge with leadership responsibilities and develop your management skills further. You will have the opportunity to collaborate with different lines of business, build comprehensive product knowledge, and develop valuable relationships across the organization.
Job Responsibilities
  • Coordinate daily processing of Dividends, Coupons, and Corporate Action events (voluntary and mandatory) for assigned markets and securities types, ensuring accuracy and timeliness
  • Act as a point of contact for junior team members, providing support and guidance on operational tasks
  • Escalate complex issues to management and assist in resolving operational challenges
  • Ensure accuracy in regulatory reporting and daily controls
  • Assist in producing operational metrics and reports for management
  • Support cash and stock break management, investigating and resolving discrepancies
  • Contribute to process improvement initiatives and suggest more efficient methods
  • Liaise with Front and Middle Offices, Depositories, Global Custodians, and market counterparties as needed
  • Maintain awareness of risk policies and procedures, ensuring adherence to escalation protocols
  • Foster a collaborative and supportive team environment

Required qualifications, capabilities and skills
  • Bachelor's degree in Accounting, Business Administration, Economics, Finance, or equivalent work experience
  • Understanding of the transaction/trade lifecycle
  • Strong attention to detail and risk awareness
  • Good problem-solving and communication skills
  • Proficiency in Microsoft Office (especially Excel)
  • Series 99 license required, you must acquire the Series 99 certification within the first 120 days
  • Eagerness to learn, adapt, and develop leadership skills

Preferred qualifications, capabilities and skills
  • 1-3 years of experience in asset servicing or securities operations preferred.

Final Job Grade and officer title will be determined at time of offer and may differ from this posting.
Please note this role is not eligible for employer immigration sponsorship.
About Us
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
About the Team
J.P. Morgan's Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.

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