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 ...
Asset Servicing Specialist
New York, NY · On-site
$100K/yr
FINRA Series 99 preferred * Ability to work on-site in New York (5 days/week initially, transitioning to hybrid after training)
Asset Servicing Specialist
New York, NY · On-site
$100K/yr
FINRA Series 99 preferred * Ability to work on-site in New York (5 days/week initially, transitioning to hybrid after training)
Securities Operations Associate Manager - Money Movement Request Management
Minneapolis, MN · On-site
FINRA series 99/7 or must be willing to obtain within 90 days Job Expectations: * Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ...
Securities Operations Associate Manager - Money Movement Request Management
Minneapolis, MN · On-site
FINRA series 99/7 or must be willing to obtain within 90 days Job Expectations: * Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ...
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:
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:
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 ...
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 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. Systems & Technology * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint.
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 ...
We will support you while you learn the FINRA licensing material and work to obtain your Series 99 license * Strong oral and written communication skills * Intermediate experience with Microsoft ...
We will support you while you learn the FINRA licensing material and work to obtain your Series 99 license * Strong oral and written communication skills * Intermediate experience with Microsoft ...
Senior Cyber Engagements Lead
Jericho, NY · On-site
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 ...
Senior Cyber Engagements Lead
Jericho, NY · On-site
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 ...
We will support you while you learn the FINRA licensing material and work to obtain your Series 99 license * Strong oral and written communication skills * Intermediate experience with Microsoft ...
We will support you while you learn the FINRA licensing material and work to obtain your Series 99 license * Strong oral and written communication skills * Intermediate experience with Microsoft ...
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 ...
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint. * Ability to obtain ...
FINRA Series 99 or Series 7, or the ability to obtain Series 99 within 12 months upon hire. * Proficient in Microsoft Office, including Outlook, Excel, Word, and PowerPoint. * Ability to obtain ...
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 Jul 26, 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.
What cities are hiring for Temporary Finra Series 99 jobs? Cities with the most Temporary Finra Series 99 job openings:
What are the most commonly searched types of Finra Series 99 jobs? The most popular types of Finra Series 99 jobs are:
What states have the most Temporary Finra Series 99 jobs? States with the most job openings for Temporary Finra Series 99 jobs include:
Full-time
Posted 4 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
-
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