Top 18 Finra series licensed Jobs in Remote

Compliance Advisor
Principal Financial Group —Des Moines, IA
- $104,400 - $187,200 a year
- Full-time
- Remote
- 6 years
- Research
- Bachelor's degree
Trade Surveillance Analyst 1 — Financial Crimes Department
Alpaca —New York, NY
- Remote
- 5 years
- Mid-level
- Analysis skills
- Health insurance
Quick Apply
1d
Licensed Investment Representative
trainwell —Silver Hill, MD
- $100,000 - $120,000 a year
- Full-time
- Remote
- Mid-level
- Communication skills
- Paid time off
Quick Apply
Director of Compliance
Alpaca —New York, NY
- Remote
- Finance
- Bachelor's degree
- Continuous improvement
- Health insurance
Quick Apply
Relationship Manager II
Principal Financial Group —Louisville, KY
- $84,600 - $171,600 a year
- Full-time
- Remote
- Customer service
- Mid-level
- Bachelor's degree
Sales Training & Implementation Specialist
Thrivent —Minneapolis, MN
- $70,434 - $95,294 a year
- Full-time
- Remote
- Writing skills
- Presentation skills
- Bachelor's degree
- Paid parental leave
- Health savings account
Quick Apply
14d
Alternative Investment Representative (OWN)
StartEngine —Remote
- Full-time
- Mid-level
- Presentation skills
- US work authorization
- Paid parental leave
- Health insurance
Registered Sales Rep - Alternatives
StartEngine —Remote
- Full-time
- Mid-level
- Presentation skills
- US work authorization
- Paid parental leave
- Health insurance
Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)
Raymond James Financial, Inc. —New York, NY
- $75,000 - $95,000 a year
- Full-time
- Remote
- Microsoft Word
- Microsoft Excel
- Up to 50% travel
- Paid holidays
- Health insurance
Clearing Operations Associate - Corporate Actions - Shift 2AM - 11AM EST
Alpaca —New York, NY
- Remote
- Research
- Mid-level
- Microsoft Office
- Health insurance
Quick Apply
10d
Advisor Assist Financial Professional (HYBRID OR REMOTE)
Equitable —Remote
- $55,000 a year
- Email
- Hybrid work
- Research
- Mid-level
- Bachelor's degree
- Health insurance
- Dental insurance
Financial Operations Principal
Alpaca —New York, NY
- Remote
- CPA
- Finance
- Bachelor's degree
Quick Apply
9d
AVP, Business Development
Carson Group —Omaha, NE
- $75,400 - $250,000 a year
- Weekends as needed
- Remote
- Mid-level
- 3 years
- Business development
- Health savings account
- AD&D insurance
Wealth Preservation Consultant - Business Development
Echelon Heritage Group —Remote
- $65,000 - $360,000 a year
- Full-time
- Remote
- Background check
- Finance
- Bachelor's degree
Quick Apply
7d
Paraplanner
Thrivent —Austin, TX
- $70,000 - $100,000 a year
- Full-time
- Remote
- Microsoft Excel
- Data analysis skills
- Research
- Paid holidays
- Paid time off
Quick Apply
Customer Care Professional-Annuities, Licensed, Remote
Thrivent —Minneapolis, MN
- $25 an hour
- Full-time
- Remote
- Background check
- Spanish
- English
- Paid parental leave
- Health savings account
Quick Apply
2d

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Compliance Advisor

Principal Financial Group -
Des Moines, IA

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Job Details

Full-time
$104,400 - $187,200 a year

Qualifications

Employee relationship building
Research

Full Job Description

What You'll Do:

Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners.

The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker-dealer compliance. This position will also provide advice and support on select business development initiatives and projects.

You will also:

Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
Participate on highly visible special projects critical to business unit and corporate growth initiatives and assist in crafting firm policy, standard operating procedures (SOP), and controls
Leverage data to provide in-depth analysis and reporting to help guide decision-making processes.
Assist in preparing for and responding to regulatory exams and other inquiries.
Contribute to organizational learning by mentoring and coaching less experienced compliance professionals.
Partner with the business to help design creative solutions for complex customer needs and business processes.
Build and sustain strong relationships with colleagues throughout the enterprise.
Perform other job-related duties or special projects as needed.

Positioned where financial services meet technology, Principal creates financial tools that assist our customers in living better lives. We are proud to be a purpose-oriented organization, guided by our mission to ensure financial security is within everyone's reach. Our mission, integrity, and customer dedication have made us a reliable leader for more than 140 years!

Who You Are:

Bachelor’s degree, or equivalent; 6+ years’ experience resulting in expertise in broker-dealer trading operations, compliance and the related governing laws and regulations.
FINRA Series 7, and 24 licenses are highly desired. If not fully licensed must be able to obtain within 6 months of start.
Excellent written and oral communication skills.
Advanced analytical, problem solving, and organizational abilities.
High level of creativity and resourcefulness.
Demonstrated application of robust data analysis and reporting capabilities, and risk management frameworks and concepts.
Experience in assessing and implementing process improvements.
Mentoring and coaching experience.
Ability to interact with regulatory bodies.

Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range: $104400 - $187200 / year Salary Details:

The following locations are examples of market-specific salary ranges across different geographies.

Wichita, KS: $104,400 - $140,400 / year
Des Moines, IA: $110,200 - $148,200 / year
Charlotte, NC: $116,000 - $156,000 / year
Chicago/Minneapolis: $127,600 - $171,600 / year
Los Angeles/New York City: $139,200 - $187,200 / year

Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: Yes Additional Information:

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States now or in the future. This includes F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and similar visas. For more information on work authorization requirements, please use the following links:

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Ethics Code

In Principal Asset Management positions, you are required to observe an Investment Code of Ethics regarding conduct and personal trading for yourself and those living with you. Other positions within the organization may have similar obligations.

Experience Principal

At Principal, we believe in forming connections both personally and professionally. Together, we’re crafting a future for financial services that is guided by purpose – and that begins with you. Our success depends on the outstanding experiences, backgrounds, and talents of our employees. We provide support to our employees in the same way as our customers. Our inclusive and competitive benefits protect physical, financial, and social well-being. Check our careers site to learn more about our purpose, values, and benefits.

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 6/12/2026 Latest Post Date: Careers - US: 7/16/2026

LinkedIn Remote Hashtag

: #LI-Remote

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Refine Your Search

finra series licensed jobs in remote

Compliance Advisor

Trade Surveillance Analyst 1 — Financial Crimes Department

Licensed Investment Representative

Director of Compliance

Relationship Manager II

Sales Training & Implementation Specialist

Alternative Investment Representative (OWN)

Registered Sales Rep - Alternatives

Senior Advisor, Compliance PCG Branch Exams (Remote Nationwide)

Clearing Operations Associate - Corporate Actions - Shift 2AM - 11AM EST

Advisor Assist Financial Professional (HYBRID OR REMOTE)

Financial Operations Principal

AVP, Business Development

Wealth Preservation Consultant - Business Development

Paraplanner

Customer Care Professional-Annuities, Licensed, Remote

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Work Authorization/Sponsorship

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Experience Principal

Principal is an Equal Opportunity Employer

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