Compliance Analyst
Atlanta, GA · On-site
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 ...
Compliance Analyst
Atlanta, GA · On-site
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 ...
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 ...
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 ...
ETF Servicing Lead, Director
California, MO · On-site
$150 - $210/hr
FINRA Series 99 and SIE licenses are required for this role and must be obtained within 90 days of hire Core Competencies Demonstrates expertise in ETF operations, including client service, fund ...
New
ETF Servicing Lead, Director
California, MO · On-site
$150 - $210/hr
FINRA Series 99 and SIE licenses are required for this role and must be obtained within 90 days of hire Core Competencies Demonstrates expertise in ETF operations, including client service, fund ...
New
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 ...
Quick apply
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 ...
Market Support Manager
Bellevue, WA · On-site
Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated ...
Market Support Manager
Bellevue, WA · On-site
Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated ...
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 ...
Quick apply
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 ...
Senior Associate, Trading Operations (Broker Dealer)
New York, NY · On-site
$99K - $142K/yr
FINRA Series 99 required (or ability to obtain within 90 days of hire) * FINRA Series 7 and Series 63 preferred It Pays to Work Here The compensation & benefits package for this role includes:
Senior Associate, Trading Operations (Broker Dealer)
New York, NY · On-site
$99K - $142K/yr
FINRA Series 99 required (or ability to obtain within 90 days of hire) * FINRA Series 7 and Series 63 preferred It Pays to Work Here The compensation & benefits package for this role includes:
Senior Associate, Trading Operations (Broker Dealer)
New York, NY · On-site
$99K - $142K/yr
FINRA Series 99 required (or ability to obtain within 90 days of hire) * FINRA Series 7 and Series 63 preferred It Pays to Work Here The compensation & benefits package for this role includes:
Senior Associate, Trading Operations (Broker Dealer)
New York, NY · On-site
$99K - $142K/yr
FINRA Series 99 required (or ability to obtain within 90 days of hire) * FINRA Series 7 and Series 63 preferred It Pays to Work Here The compensation & benefits package for this role includes:
Cash and Controls Associate I
Newark, DE · On-site
$15.50 - $20.75/hr
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
$15.50 - $20.75/hr
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
$15.50 - $20.75/hr
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
$15.50 - $20.75/hr
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Senior Settlements Analyst
$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 ...
Senior Settlements Analyst
$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 ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
Cash and Controls Associate I
Newark, DE · On-site
The successful applicant will be required to successfully obtain their FINRA Series 99 certification within 12 months of their start date. Job responsibilities * Process payments and review incoming ...
FINRA series 99/7 or must be willing to obtain within 90 days. Job Expectations: * US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is ...
FINRA series 99/7 or must be willing to obtain within 90 days. Job Expectations: * US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Series 99 license Why Join FINRA? You'll be part of a mission-driven organization where your work directly impacts the safety and integrity of the financial markets. We offer competitive compensation ...
Temporary Finra Series 99 information
See salary details
$11.30 - $14.42
12% of jobs
$14.42 - $17.55
12% of jobs
$18.46 is the 25th percentile. Wages below this are outliers.
$17.55 - $20.67
6% of jobs
$20.67 - $23.80
0% of jobs
$23.80 - $26.92
17% of jobs
The median wage is $27.24 / hr.
$26.92 - $30.05
36% of jobs
$30.05 - $33.17
1% of jobs
$33.17 - $36.30
0% of jobs
$36.30 - $39.42
8% of jobs
$39.42 - $42.55
5% of jobs
$42.55 - $45.67
3% of jobs
$11
$27
$45
How much do temporary finra series 99 jobs pay per hour?
As of Aug 17, 2026, the average hourly pay for temporary finra 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.
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Cities with the most Temporary Finra Series 99 job openings:
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Full-time
Re-posted 25 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
Knowledge and Experience
Preferred Experience
#LI-HR1 #LI-ONSITE
-
Intercontinental Exchange, Inc. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to legally protected characteristics.
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.
About IntercontinentalExchange
Sourced by ZipRecruiter
Company size
5,001 - 10,000 Employees
Headquarters location
Atlanta, GA, US
Year founded
1990