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Series 99 Jobs (NOW HIRING)

Hilltop Holdings

Operations Lead

Dallas, TX

Series 99 or successful completion of Series 7 within 6 year of hire * Customer focused with strong interpersonal and communication skills * Proficiency with Microsoft Excel, Word, Outlook and back ...

Hilltop Holdings

Operations Lead

Dallas, TX · On-site

Series 99 or successful completion of Series 7 within 6 year of hire * Customer focused with strong interpersonal and communication skills * Proficiency with Microsoft Excel, Word, Outlook and back ...

janney

FINRA Series 7 or Series 99 license is a plus This role will be hybrid, the individual will work approximately three days per week in-office. Why work for us? Benefits: Janney believes that its ...

janney

FINRA Series 7 or Series 99 license is a plus This role will be hybrid, the individual will work approximately three days per week in-office. Why work for us? Benefits: Janney believes that its ...

LPL Financial LLC

NY · On-site

$76.74 - $127.82/hr

Must hold SIE and Series 99/Series 7 licenses (able to obtain in first 90 days if not currently held). * Leadership and motivational skills. * Understanding of the advisor role. * Ability to work ...

Altruist

Senior Settlements Analyst

Dallas, TX

$84K - $105K/yr

FINRA Series 99 (or ability to obtain in 90 days) * Expert knowledge with DTC, NSCC, Obligation Warehouse, SMART Track, and other DTCC suite applications * Settlement, buy-in, fail control, and/or ...

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Series 99 information

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How much do series 99 jobs pay per hour?

As of Aug 12, 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.

Who needs a Series 99 license?

A Series 99 license is required for individuals responsible for overseeing operations, compliance, and supervision within a brokerage firm, such as branch managers and supervisors. It demonstrates knowledge of industry rules, regulations, and firm policies necessary for managing personnel and ensuring regulatory adherence.

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.

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.

More about Series 99 jobs
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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, 12% Part Time, 1% Temporary, and 3% 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.

Branch Operations Specialist (Leawood, KS)

Oppenheimer & Co. Inc.

Leawood, KS • On-site

$18.75 - $24.25/hr

Full-time

Re-posted 18 days ago

Job description

Who We Are:
Oppenheimer & Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description
The firm is seeking a Branch Operations Specialist to join their branch office in Leawood, KS. This role requires superior interpersonal skills as well as organizational and multi-tasking skill sets. The candidate should be able to operate independently as well as a member of a team under the leadership of the Branch Manager. This position will report to the National Branch Operations Administrator with secondary reporting to the Branch Manager. This position will also entail a front office location with responsibilities including phone and client interaction.
Responsibilities
  • Assist in maintaining the day to day operations to ensure operational excellence
  • Support client onboarding process
  • Maintain and process documents
  • Assist with audit preparations
  • Communicate effectively and efficiently with home office personnel
  • Interact and support branch staff and all levels of management
  • Interact on routine/sensitive matters
  • Ensure that all documents are sent to home office in a timely manner
  • Cross training within other positions in the Operations area
  • Willing and able to take on additional tasks

Qualifications:
  • At least 1 year of experience in one or a combination of the following: customer service, operations, financial services, or clerical
  • FINRA Registration: SIE and Series 99 required (Within 6 months of hire)
  • Brokerage operations experience
  • Strong attention to detail and accuracy
  • Intermediate Microsoft Office skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Excellent verbal, written, and interpersonal communication skills
  • Effective organizational, multi-tasking, and prioritizing skills

Apply