Broker Dealer Jobs in New York
Broker dealer jobs in New York sit at the center of one of the most active financial services markets in the world, with consistent demand at every level from entry-level registered representatives through senior trading and compliance professionals. Most hiring concentrates in Manhattan, with additional activity in White Plains and Jersey City, across firms like Goldman Sachs, Morgan Stanley, and Fidelity Investments. The most in-demand specialties in New York are equity trading, fixed income, and regulatory compliance. Find a role that fits 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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Find Broker Dealer JobsBroker Dealer Jobs by City in New York
Where New York roles are concentrated, by current openings.
Broker Dealer Job Market in New York
A snapshot from current New York openings, updated as new roles post.
Who's Hiring
Top Industries Hiring
- Investment & Asset Management
What New York Employers Look For
The qualifications that appear most often in broker dealer jobs across New York.
- FINRA Series 7 and Series 63 licenses required by New York employers
- Bachelor's degree in finance, economics, or a related business field
- Experience with securities trading platforms and order management systems
- Strong knowledge of SEC and FINRA regulatory compliance requirements
- Demonstrated ability to manage client portfolios and maintain account relationships
- Proficiency in Bloomberg Terminal or equivalent financial data analysis tools
Broker Dealer Jobs in New York: Frequently Asked Questions
How do you become a broker dealer in New York?
Becoming a broker dealer in New York requires registering with FINRA and passing the Series 7 General Securities Representative exam, which licenses you to sell a broad range of securities products. You must also pass the Series 63 Uniform Securities Agent State Law exam, which New York requires for state registration. Most employers expect a bachelor's degree in finance, economics, or business, and sponsorship from a registered broker dealer firm to sit for FINRA exams.
How much do broker dealers make in New York?
Broker dealers in New York earn a median of about $168,340 a year, based on May 2025 Bureau of Labor Statistics wage data, ranging from around $59,960 for the lowest 10% to over $329,460 for the top 10%. Pay rises with experience, specialty, and employer.
Which companies hire broker dealers in New York?
Employers hiring broker dealers in New York right now include ACG Consultancy, MAREX, and icapital, based on current listings on Migrate Mate as of August 2026. New York's concentration of major investment banks, regional broker dealers, and independent registered investment advisers means consistent openings across firm types and deal sizes.
Which New York cities have the most broker dealer jobs?
New York account for the largest share of broker dealer openings in New York. Manhattan drives the majority of demand given its density of investment banks, broker dealer headquarters, and trading firms, while White Plains and other Westchester locations reflect the regional offices and independent advisory firms that operate outside the city center.
How can I get hired as a broker dealer in New York with little or no experience?
The most realistic entry path is securing a sponsorship arrangement with a registered broker dealer firm that will support you through the FINRA Series 7 exam process. Large New York firms including regional broker dealers and wire houses regularly hire associates or sales assistants who study for their licenses on the job. Coming in from an adjacent role in financial advising, banking, or client services gives you a practical edge, and holding a Series 65 or completing a FINRA SIE exam before applying signals readiness to most New York hiring managers.
Where can I find and apply to broker dealer jobs in New York?
You can find and apply to broker dealer jobs in New York on Migrate Mate, which lists current New York openings from employers actively hiring right now. Search the available roles, identify the ones that fit your background and licensing status, and apply directly to each one.
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