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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Job Details and Responsibilities
Job Overview:
We are seeking a highly skilled and experienced Compliance manager. This role requires a minimum of 5 years of experience working at a Self Clearing Broker-Dealer with knowledge in Investment Banking and Trade execution, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and maintaining effective supervisory controls within the Broker Dealer and maintaining and updating policy and procedures.
Key Responsibilities:
- Compliance Oversight: Ensure and verify all investment banking activities adhere to regulatory requirements and internal policies. Monitor and enforce compliance with FINRA, SEC, and other relevant regulations.
- Filing Requirements: Conduct the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness in compliance with industry regulations.
- Risk Management: Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively.
- Policy Implementation: Develop and enforce compliance policies and procedures, ensuring they are updated in line with regulatory changes and industry developments.
- Audit Support: Coordinate with internal and external auditors, providing necessary documentation and addressing any findings or concerns.
Qualifications:
- Experience: Minimum of 5 years of experienceat a Self Clearing Broker Dealer dealind with investment banking. Strong understanding of compliance and supervisory functions within the investment banking sector.is a must
- Licenses: "Must Have" Series 7, 24, and Series79 would be a plus.
- Skills: Excellent analytical skills with the ability to interpret complex regulations. Strong communication and leadership skills to effectively manage and guide compliance teams. Proficiency in regulatory filing and processing.
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Who's Hiring
Top Industries Hiring
- Investment & Asset Management
- Banking & Financial Services
- Technology & Software
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 Crowe LLP, ACG Consultancy, and Cetera Financial, with the largest share of openings in New York, New Jersey, and Texas, based on current listings on Migrate Mate as of August 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 57% of broker dealer openings are fully remote or hybrid as of August 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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