H-1B Visa Broker Dealer Jobs
Broker dealer roles fall under USCIS specialty occupation rules, requiring at least a bachelor's degree in finance, economics, or a related field. Most positions sit at H-1B visa cap-subject employers, so timing your job search around the April lottery window matters. FINRA licensing requirements add a credential layer most visa guides ignore.
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Get Access To All JobsAbout Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
About Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
See all H-1B Visa Broker Dealer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new H-1B Visa Broker Dealer Jobs.
Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Broker Dealer
Align your degree to specialty occupation
USCIS scrutinizes broker dealer petitions because some firms argue the role doesn't require a specific degree. Document how your finance, economics, or business degree directly maps to the duties in your offer letter before filing.
Check FINRA licensing status before accepting offers
Series 7 and Series 63 exams require FINRA sponsorship from a registered broker dealer. Confirm your prospective employer is a FINRA member firm so you can sit for required exams without status complications after your H-1B is approved.
Target firms with LCA filing history on Migrate Mate
Search Migrate Mate to filter broker dealer employers by their DOL Labor Condition Application history. This shows which firms have actively sponsored H-1B workers in finance roles, so you're not cold-applying to companies with no sponsorship infrastructure.
Verify the prevailing wage tier for your metro
Broker dealer compensation varies sharply by city. Use the OFLC Wage Search to look up the Level I through Level IV wage for your SOC code and work location before negotiating, so your offer meets DOL certification requirements.
Request premium processing if your start date is fixed
Broker dealer desks often have firm onboarding dates tied to training cohorts or licensing exam windows. Premium processing gives USCIS a 15-business-day adjudication target, reducing the risk of missing a dated start tied to regulatory requirements.
Prepare an itinerary letter for multi-site work
Broker dealer roles sometimes involve rotations across branch offices or client sites. USCIS requires a separate LCA for each worksite location, so your employer must file additional LCAs and you should have an itinerary letter documenting each site in advance.
H-1B Visa Broker Dealer: Frequently Asked Questions
Does a broker dealer role qualify as an H-1B specialty occupation?
It can, but the petition requires careful documentation. USCIS looks for a direct relationship between the job duties and a specific bachelor's-level field such as finance, economics, or business administration. Generic job descriptions referencing broad business skills without degree specificity are common grounds for a Request for Evidence on broker dealer petitions.
Can I sit for FINRA licensing exams while my H-1B petition is pending?
Yes, if you're already authorized to work in the U.S. under a different status, such as OPT or a cap-gap extension. FINRA exam eligibility is tied to sponsorship by a registered member firm, not to H-1B approval specifically. Confirm your current work authorization covers the exam period with your employer's compliance team before scheduling.
Which types of broker dealers sponsor H-1B visas most consistently?
Larger registered investment advisors, bulge-bracket banks, and independent broker dealers with structured compliance departments tend to have established H-1B sponsorship processes. Smaller regional firms may lack in-house immigration counsel. You can review Labor Condition Application filing history by employer on Migrate Mate to identify which firms have sponsored roles matching your background.
Does working at multiple branch locations affect my H-1B petition?
Yes. DOL rules require a certified LCA for each worksite where you'll work for more than a limited period. If your broker dealer role involves regular work across branch offices, your employer must file separate LCAs covering each location. Your I-129 petition should include an itinerary letter documenting each site, date range, and applicable wage level.
What happens to my H-1B status if my broker dealer employer loses its FINRA registration?
A broker dealer that loses FINRA registration can no longer legally employ licensed representatives in that capacity, which would terminate the basis for your H-1B. You'd have a 60-day grace period under USCIS rules to find a new sponsoring employer and file a transfer petition. Acting quickly within that window protects your status while you secure a new position.