Broker Dealer Jobs
Broker Dealer jobs are open across investment banking, wealth management, brokerage firms, and insurance, from entry-level registered representatives to senior principals and compliance officers, with specializations in securities trading, fixed income, and client portfolio management. Find a role that fits from the openings below and apply directly.
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Position Overview
PINE Advisor Solutions, a Centralis Company, is seeking an Associate Director, Broker-Dealer Compliance, to join our Distribution Services team. This individual will partner with the Broker-Dealer Chief Compliance Officer (CCO) and independently manage the day-to-day compliance operations for PINE Distributors, an SEC registered and FINRA member limited purpose broker-dealer. The role owns the registration, licensing and supervisory support lifecycle for registered representatives and supports the CCO across the firm's broader compliance program. As the discipline expert, you will own the final review of this work before CCO sign-off and serve as the primary day-to-day contact for clients and registered reps.
In this role, you will work closely with the CCO and senior team members to manage regulatory and compliance functions, interact with the firm’s clients, and lead special projects. You will also leverage technology to drive scalable, sustainable process efficiencies across Distribution Services.
This is a strong opportunity for a detail-oriented professional to step into a significant role with visibility across critical fund compliance operations, client service delivery, and operational improvement initiatives.
About PINE
PINE Advisor Solutions ("PINE") is a dynamic and fast-growing organization that provides institutional-quality outsourced solutions for funds and investment managers. Our team is driven by the belief that we are contributing to something remarkable.
At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an “all for one and one for all” philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.
Key Responsibilities:
- Manage the firm's supervisory system and core compliance calendar, with oversight from the CCO.
- Maintain and update the WSPs and supervisory control system, identifying gaps and recommending changes to the CCO.
- Administer the firm’s online advertising review platform and FINRA advertising filings, partnering with the advertising review team.
- Lead day-to-day coordination of FINRA cycle examinations, including document and data requests, working alongside the CCO.
- Plan, schedule and document internal inspections of offices and supervisory locations, including any remote inspection elections.
- Lead compliance-related projects assigned by the CCO and proactively identify opportunities to improve processes.
- Link registration, disclosure and supervisory issues to regulatory and business risk, anticipate future issues and recommend solutions to the CCO.
- Use discretion handling confidential broker-dealer and personnel information.
- Serve as the primary day-to-day contact for the firm’s clients and registered reps on registration and supervisory matters, including difficult client and service provider conversations.
- Own the final review of registration and compliance work before CCO sign-off.
- Cover day-to-day compliance matters when the CCO is out.
- Provide clear written communication with clients, registered staff, senior management and regulators.
Registered Representative Management:
- Prepare and file Forms U4 and U5 as well as amendments through FINRA Gateway/CRD
- Coordinate fingerprinting and background checks, review prior Forms U5
- Review BrokerCheck history and disclosure events, assess potential heightened-supervision cases and escalate to the CCO with recommendations
- Track exam windows and enrollments
- Monitor Firm and Regulatory Element participation and administer the firm's Firm Element Training Needs Analysis and Plan.
- Disseminate compliance questionnaires and certifications, review and maintain records of outside business activities and private securities transactions
- Maintain Form BR filings, office registrations and residential or remote supervisory location designations
- Manage state and firm registrations and the annual FINRA renewal statement process
- Keep an accurate register of associated persons, licenses, supervisors and approved activities, and serve as the primary contact for registered reps on registration questions
- Conduct or oversee email and messaging review; monitor for off-channel communications
- Administer compliance logs (e.g., gifts and entertainment, political contributions)
Qualifications:
- Bachelor's degree or equivalent professional experience.
- 5+ years of broker-dealer compliance experience, including at least 2 years handling registration and licensing through FINRA Gateway/CRD.
- Track record of independently managing a broker-dealer registration and licensing function end to end.
- Working knowledge of SEC and FINRA registration, supervision, communication and books/records rules, and an interest in keeping up as they change.
- Familiarity with compliance platforms (e.g., internal compliance management, registered rep database, e-communications archiving and review tools).
- Strong organization, attention to detail and the judgment to know when to escalate.
- Self-starter who takes initiative, works well in a team, and can prioritize and meet multiple deadlines.
- Excellent verbal and written communication skills.
- Passion for delivering exceptional client experience.
Work Model (Hybrid Preferred)
- Candidates who can work out of our Denver office 2 days per week are preferred
- We are open to hiring remote employees located anywhere in the US with direct experience. (Some periodic travel to Denver will be expected for remote hires, approx. 5%)
Salary: $80,000 - $100,000
Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.
Employee Benefits
- Health Insurance – we cover 100% of the cost for employees
- A comprehensive selection of medical, dental, and vision health plans
- Life and disability insurance
- 401(k) savings plan
- Unlimited vacation policy
- Paid maternity and paternity leave
What You Can Expect From PINE
Work-life Balance
- We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.
Be a Leader
- At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.
Experience an Environment of Learning
- We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.
PINE Advisor Solutions provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.
This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.
Position Overview
PINE Advisor Solutions, a Centralis Company, is seeking an Associate Director, Broker-Dealer Compliance, to join our Distribution Services team. This individual will partner with the Broker-Dealer Chief Compliance Officer (CCO) and independently manage the day-to-day compliance operations for PINE Distributors, an SEC registered and FINRA member limited purpose broker-dealer. The role owns the registration, licensing and supervisory support lifecycle for registered representatives and supports the CCO across the firm's broader compliance program. As the discipline expert, you will own the final review of this work before CCO sign-off and serve as the primary day-to-day contact for clients and registered reps.
In this role, you will work closely with the CCO and senior team members to manage regulatory and compliance functions, interact with the firm’s clients, and lead special projects. You will also leverage technology to drive scalable, sustainable process efficiencies across Distribution Services.
This is a strong opportunity for a detail-oriented professional to step into a significant role with visibility across critical fund compliance operations, client service delivery, and operational improvement initiatives.
About PINE
PINE Advisor Solutions ("PINE") is a dynamic and fast-growing organization that provides institutional-quality outsourced solutions for funds and investment managers. Our team is driven by the belief that we are contributing to something remarkable.
At PINE, we prioritize client service and a collaborative culture. The ideal candidate will be motivated, detail-oriented, eager to learn, and thrive in a high-performing and supportive environment. Our culture is built around an “all for one and one for all” philosophy. Your contributions matter, and we are a team that embraces challenges and believes in growing through doing.
Key Responsibilities:
- Manage the firm's supervisory system and core compliance calendar, with oversight from the CCO.
- Maintain and update the WSPs and supervisory control system, identifying gaps and recommending changes to the CCO.
- Administer the firm’s online advertising review platform and FINRA advertising filings, partnering with the advertising review team.
- Lead day-to-day coordination of FINRA cycle examinations, including document and data requests, working alongside the CCO.
- Plan, schedule and document internal inspections of offices and supervisory locations, including any remote inspection elections.
- Lead compliance-related projects assigned by the CCO and proactively identify opportunities to improve processes.
- Link registration, disclosure and supervisory issues to regulatory and business risk, anticipate future issues and recommend solutions to the CCO.
- Use discretion handling confidential broker-dealer and personnel information.
- Serve as the primary day-to-day contact for the firm’s clients and registered reps on registration and supervisory matters, including difficult client and service provider conversations.
- Own the final review of registration and compliance work before CCO sign-off.
- Cover day-to-day compliance matters when the CCO is out.
- Provide clear written communication with clients, registered staff, senior management and regulators.
Registered Representative Management:
- Prepare and file Forms U4 and U5 as well as amendments through FINRA Gateway/CRD
- Coordinate fingerprinting and background checks, review prior Forms U5
- Review BrokerCheck history and disclosure events, assess potential heightened-supervision cases and escalate to the CCO with recommendations
- Track exam windows and enrollments
- Monitor Firm and Regulatory Element participation and administer the firm's Firm Element Training Needs Analysis and Plan.
- Disseminate compliance questionnaires and certifications, review and maintain records of outside business activities and private securities transactions
- Maintain Form BR filings, office registrations and residential or remote supervisory location designations
- Manage state and firm registrations and the annual FINRA renewal statement process
- Keep an accurate register of associated persons, licenses, supervisors and approved activities, and serve as the primary contact for registered reps on registration questions
- Conduct or oversee email and messaging review; monitor for off-channel communications
- Administer compliance logs (e.g., gifts and entertainment, political contributions)
Qualifications:
- Bachelor's degree or equivalent professional experience.
- 5+ years of broker-dealer compliance experience, including at least 2 years handling registration and licensing through FINRA Gateway/CRD.
- Track record of independently managing a broker-dealer registration and licensing function end to end.
- Working knowledge of SEC and FINRA registration, supervision, communication and books/records rules, and an interest in keeping up as they change.
- Familiarity with compliance platforms (e.g., internal compliance management, registered rep database, e-communications archiving and review tools).
- Strong organization, attention to detail and the judgment to know when to escalate.
- Self-starter who takes initiative, works well in a team, and can prioritize and meet multiple deadlines.
- Excellent verbal and written communication skills.
- Passion for delivering exceptional client experience.
Work Model (Hybrid Preferred)
- Candidates who can work out of our Denver office 2 days per week are preferred
- We are open to hiring remote employees located anywhere in the US with direct experience. (Some periodic travel to Denver will be expected for remote hires, approx. 5%)
Salary: $80,000 - $100,000
Actual compensation will be determined based on experience, qualifications, and other job-related factors. This position may also be eligible for discretionary bonus compensation.
Employee Benefits
- Health Insurance – we cover 100% of the cost for employees
- A comprehensive selection of medical, dental, and vision health plans
- Life and disability insurance
- 401(k) savings plan
- Unlimited vacation policy
- Paid maternity and paternity leave
What You Can Expect From PINE
Work-life Balance
- We trust you to be the expert on creating an environment that allows you to bring your best self to work. With unlimited vacation and flexible work-from-home options, we encourage a work-life balance that brings out the best in our team.
Be a Leader
- At PINE, we prioritize ensuring that each team member has the chance to emerge as a leader and make substantial contributions to our company.
Experience an Environment of Learning
- We place an emphasis on learning from each other and celebrating our unique expertise. There are abundant opportunities to learn and hone new skills.
PINE Advisor Solutions provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, sex (including pregnancy), age, national origin, disability status, genetic information, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable federal, state, or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.
This position is expected to remain open for approximately two weeks. The posting may close sooner if the position is filled or if a sufficient number of qualified applicants are received.
Broker Dealer Jobs by Experience Level
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Find Broker Dealer JobsBroker Dealer Job Market
Who's Hiring
What Employers Look For
The qualifications that appear most often in broker dealer jobs.
- Active FINRA Series 7 license or willingness to obtain sponsorship
- Series 63 or Series 66 state securities registration
- Experience with securities transactions, trading platforms, or order execution
- Knowledge of SEC and FINRA compliance rules and suitability standards
- Bachelor's degree in finance, economics, business, or a related field
- Proficiency with Bloomberg, Fidelity WealthScape, or comparable brokerage systems
Tips for Your Broker Dealer Job Search
Lead your resume with licenses held
Hiring managers at broker dealer firms scan for Series 7, Series 63, and Series 65 credentials before reading anything else. List your active FINRA registrations at the top of your resume so they're impossible to miss, and note your sponsoring firm if relevant.
Target firms by their product focus
A fixed-income desk and a retail brokerage have almost nothing in common in their hiring criteria. Filter your search by the asset class or client segment you've worked with, and tailor every application to the specific products that firm actually trades or sells.
Apply early to roles that fit
Migrate Mate lists broker dealer openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Quantify production volume on your resume
Broker dealer hiring managers expect to see AUM, transaction volume, or client account counts. Replace vague language like 'managed a portfolio' with concrete figures tied to the book of business you ran, the number of accounts you serviced, or the revenue you generated.
Prepare a regulatory scenario for interviews
Most broker dealer interviews include at least one compliance scenario: a suspicious trade, a suitability question, or a customer complaint. Walk through your past experience with a specific example that shows you know how to escalate correctly under FINRA rules.
Negotiate your payout structure, not just base salary
At most broker dealer firms, total compensation depends heavily on commission splits, trailing fees, and production bonuses rather than base pay alone. Before accepting an offer, ask explicitly how the payout grid works and what milestones trigger each tier.
Broker Dealer Jobs: Frequently Asked Questions
Which companies are hiring the most broker dealers?
The companies hiring the most broker dealers right now include Dimensional Fund Advisors, CIM, and State Street, with the largest share of openings in Texas, New York, and Pennsylvania, based on current listings on Migrate Mate as of November 2026. Demand is concentrated at full-service broker dealers, independent RIA-affiliated firms, and regional wirehouses expanding their retail distribution teams.
How many broker dealer jobs are remote?
About 88% of broker dealer openings are fully remote or hybrid as of November 2026, with remote options most common in compliance, back-office operations, and financial planning support roles. Client-facing registered representative positions and trading desk roles are still predominantly in-office given regulatory supervision and real-time communication requirements.
How do you become a broker dealer?
To work as a broker dealer, you need to be sponsored by a FINRA-registered firm, pass the Securities Industry Essentials exam, and then complete the Series 7 and any required state exams such as the Series 63. Most candidates start at an established brokerage or financial services firm, complete their licensing under sponsorship, and build a client book from there.
Can you get a broker dealer job with little experience?
Entry-level broker dealer roles do exist, particularly at retail brokerage firms and insurance-affiliated broker dealers that hire unlicensed candidates and provide Series 7 sponsorship. Your best path in is a finance or business degree, any internship involving client accounts or financial products, and a willingness to pass licensing exams quickly after hire.
What does the broker dealer interview process look like?
Broker dealer interviews typically run two to three rounds. The first is a phone screen covering your licensing status and general background. The second is a more detailed conversation with a branch manager or department head that includes compliance scenarios and questions about your client-handling experience. Final rounds at larger firms may include a product knowledge assessment or a panel with a compliance officer.
Where can I find and apply to broker dealer jobs?
You can find and apply to broker dealer jobs on Migrate Mate, which lists current openings from employers across the United States. Search the listings to find roles that match your licensing level, product focus, and preferred location, then apply directly to each opening that fits.
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