1

Series 99 Jobs (NOW HIRING)

Trading Services Associate I

Newark, DE · On-site

$15.50 - $20.50/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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

Qualifications • Associate or bachelor's Degree preferred (Finance or Accounting). • Series 99 or series 7. • Knowledge of Netx360. • Strong analytical skills. • Commitment to deliver a ...

next page

Showing results 1-20

Series 99 information

See salary details

$11

$27

$45

How much do series 99 jobs pay per hour?

As of Jun 10, 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 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 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.

More about Series 99 jobs
What cities are hiring for Series 99 jobs? Cities with the most Series 99 job openings:
What are the most commonly searched types of Series 99 jobs? The most popular types of Series 99 jobs are:
What states have the most Series 99 jobs? States with the most job openings for Series 99 jobs include:
Infographic showing various Series 99 job openings in the United States as of June 2026, with employment types broken down into 80% Full Time, 16% Part Time, and 4% Contract. Highlights an 96% Physical, 1% Hybrid, and 3% Remote job distribution, with an average salary of $57,583 per year, or $27.7 per hour.
Trading Services Associate I

Trading Services Associate I

Chase

Newark, DE • On-site

$15.50 - $20.50/hr

Other

Medical, Retirement

This job post has expired 1 day ago. Applications are no longer accepted.


JPMorgan Chase & Co. rating

8.1

Company rating: 8.1 out of 10

Based on 468 frontline employees who took The Breakroom Quiz

46th of 141 rated banks


Job description

Markets Asset Servicing Associate

Are you ready to elevate your career in a fast-paced, global environment? As a Markets Asset Servicing Associate, you will have the opportunity to lead impactful initiatives, collaborate with talented colleagues, and develop your expertise across a diverse range of products and markets. Join us and be part of a team that values innovation, continuous learning, and your professional growth.

Job Summary: As a Markets Asset Servicing Associate within the Commercial & Investment Bank, you will play a key role in the end-to-end processing of global corporate actions and income events across multiple securities types, including equities and fixed income products. You will work closely with trading desks, middle office, finance teams, and settlements, gaining valuable insight into operations and contributing to the delivery of exceptional service for our clients. This role offers the opportunity to take on greater responsibility, mentor junior staff, and drive process improvements that enhance our operational excellence. You will be empowered to manage complex event workflows, support regulatory and risk controls, and participate in projects that shape the future of our asset servicing platform. Your contributions will help us deliver industry-leading quality and a world-class client experience.

Job Responsibilities:

  • Lead and oversee daily operations for corporate action events across multiple markets and securities types, ensuring accuracy and timeliness
  • Serve as an escalation contact, investigating and resolving complex dividend-related queries
  • Act as a subject matter expert for asset servicing processes, providing guidance and support to junior team members
  • Manage high-volume workflows and prioritize tasks to meet critical deadlines
  • Ensure all regulatory reporting and daily controls are completed accurately and on time
  • Produce and analyze operational metrics, identifying trends and areas for improvement
  • Proactively identify and escalate issues, collaborating with team members to resolve complex problems
  • Support cash and stock break management, investigating and resolving discrepancies
  • Contribute to process improvement initiatives, recommending and implementing more efficient and cost-effective methods
  • Participate in projects driven by industry mandates, process enhancements, or client requirements
  • Maintain up-to-date awareness of risk policies and procedures, ensuring adherence to escalation protocols

Required Qualifications, Capabilities, and Skills:

  • Bachelor's degree in Accounting, Business Administration, Economics, Finance, or equivalent work experience
  • Three years of experience in asset servicing or securities operations, with expertise in corporate actions and/or income processing
  • Strong understanding of the transaction and trade lifecycle and global securities products
  • Advanced risk and control awareness, with experience implementing mitigating controls
  • Proven ability to manage high-volume, deadline-driven workflows with accuracy and quality
  • Excellent problem-solving, analytical, and issue resolution skills
  • Strong relationship-building and communication skills, with the ability to collaborate across teams and with external counterparties
  • Proficiency in Microsoft Office applications, especially Excel
  • 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 attention to detail and adaptability to changing business needs

Preferred Qualifications, Capabilities, and Skills:

  • Experience with industry systems preferred
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.


What JPMorgan Chase & Co. employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom