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 JobsLocation: Washington D.C., DC ; Westlake, TX
Requisition ID 2026-122675
Category Executive
Position type Regular
Pay range USD $250,000.00 - $400,000.00 / Year
Application deadline 2026-06-12
Your opportunity
Managing Director, Broker-Dealer Products and Services
Position Summary
The Managing Director, Broker-Dealer Products and Services Counsel serves as a senior legal advisor responsible for providing strategic counsel on derivatives, complex investment products, and trading-related activities conducted through the firm’s broker-dealer and Futures Commission Merchant (FCM). This role partners closely with senior business leaders and the Chief Counsel to interpret evolving regulatory requirements, mitigate risk, and enable compliant growth across trading and markets functions. The position operates at an enterprise level, influencing decision-making, regulatory engagement, and legal strategy for trading services, futures operations, and complex product initiatives. This role is critical to enabling the firm to navigate an increasingly complex regulatory landscape while supporting the growth of trading and derivatives businesses. By providing expert legal guidance, the Managing Director helps protect the firm from regulatory risk, supports market innovation, and ensures a strong foundation for client-facing trading capabilities.
Key Responsibilities
Legal Advisory & Regulatory Interpretation
- Provide expert legal guidance on trading activities involving derivatives, futures, options, complex equities, and ETFs.
- Interpret regulatory frameworks, including CFTC, NFA, SEC, FINRA, and exchange requirements, to business activities.
- Advise on complex or ambiguous regulatory matters and translate requirements into practical business guidance.
Risk Management & Governance
- Identify legal and regulatory risks and develop mitigation strategies to maintain a strong control environment.
- Oversee development and maintenance of client disclosures, agreements, and risk management programs, including futures-related requirements.
- Advise on trading practices, order handling, market data usage, and regulatory reporting obligations.
Strategic Business Partnership
- Serve as a trusted advisor to senior leadership, including Trading business leaders and Legal executives.
- Provide counsel on new products, business initiatives, and trading strategies to ensure compliance with regulatory expectations.
- Support Trading & Education and research-related functions with legal guidance and issue resolution.
Regulatory Engagement & Advocacy
- Monitor and analyze regulatory developments, rulemaking, and market structure changes impacting trading and derivatives activities.
- Engage with regulators, exchanges, and industry bodies to interpret requirements and advocate for the firm’s positions.
Leadership & Collaboration
- Lead and develop legal talent, including direct oversight of Director-level counsel.
- Collaborate across Legal, Risk, Compliance, and business teams to ensure consistent and effective legal support.
- Manage outside counsel on complex or high-impact matters.
Work Environment & Scope
- Enterprise-level role within Legal Services supporting Trading, Markets & Operations.
- Direct oversight of Director-level counsel (span of control: 1 direct report).
- Regular engagement with senior business leaders, regulators, and external stakeholders.
- High-impact role influencing regulatory risk posture and business strategy for trading and derivatives activities.
What you have
Basic Qualifications (Required Experience)
- Juris Doctor (JD) from an accredited law school and active bar membership in good standing.
- Significant legal experience in financial services, with deep expertise in:
- Commodities regulation (Commodity Exchange Act, CFTC, NFA rules).
- Broker-dealer regulation (Exchange Act, FINRA rules, margin and trading regulations).
- Securities laws related to offerings, disclosures, and investment products.
- Demonstrated experience advising on derivatives, futures, and complex investment products within broker-dealer and/or FCM environments.
- Proven ability to interpret evolving regulatory requirements and provide clear, actionable guidance to senior stakeholders.
- Experience engaging with regulatory agencies and addressing complex regulatory issues.
- Strong leadership experience, including managing legal professionals and influencing senior business leaders.
Preferred Qualifications (Preferred Experience)
- Experience operating at an enterprise level within a large, regulated financial institution.
- Familiarity with trading operations, including execution and clearing frameworks, futures risk management programs, and market data regulations.
- Experience supporting complex product governance and new product development initiatives.
- Exposure to research and trading-adjacent business functions (e.g., investment research, trading enablement).
- Strong cross-functional collaboration skills with the ability to influence across Legal, Risk, Compliance, and business teams.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan.
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions.
- Paid parental leave and family building benefits.
- Tuition reimbursement.
- Health, dental, and vision insurance.
Eligible Schwabbies receive
- Medical, dental and vision benefits.
- 401(k) and employee stock purchase plans.
- Tuition reimbursement to keep developing your career.
- Paid parental leave and adoption/family building benefits.
- Sabbatical leave available after five years of employment.
Location: Washington D.C., DC ; Westlake, TX
Requisition ID 2026-122675
Category Executive
Position type Regular
Pay range USD $250,000.00 - $400,000.00 / Year
Application deadline 2026-06-12
Your opportunity
Managing Director, Broker-Dealer Products and Services
Position Summary
The Managing Director, Broker-Dealer Products and Services Counsel serves as a senior legal advisor responsible for providing strategic counsel on derivatives, complex investment products, and trading-related activities conducted through the firm’s broker-dealer and Futures Commission Merchant (FCM). This role partners closely with senior business leaders and the Chief Counsel to interpret evolving regulatory requirements, mitigate risk, and enable compliant growth across trading and markets functions. The position operates at an enterprise level, influencing decision-making, regulatory engagement, and legal strategy for trading services, futures operations, and complex product initiatives. This role is critical to enabling the firm to navigate an increasingly complex regulatory landscape while supporting the growth of trading and derivatives businesses. By providing expert legal guidance, the Managing Director helps protect the firm from regulatory risk, supports market innovation, and ensures a strong foundation for client-facing trading capabilities.
Key Responsibilities
Legal Advisory & Regulatory Interpretation
- Provide expert legal guidance on trading activities involving derivatives, futures, options, complex equities, and ETFs.
- Interpret regulatory frameworks, including CFTC, NFA, SEC, FINRA, and exchange requirements, to business activities.
- Advise on complex or ambiguous regulatory matters and translate requirements into practical business guidance.
Risk Management & Governance
- Identify legal and regulatory risks and develop mitigation strategies to maintain a strong control environment.
- Oversee development and maintenance of client disclosures, agreements, and risk management programs, including futures-related requirements.
- Advise on trading practices, order handling, market data usage, and regulatory reporting obligations.
Strategic Business Partnership
- Serve as a trusted advisor to senior leadership, including Trading business leaders and Legal executives.
- Provide counsel on new products, business initiatives, and trading strategies to ensure compliance with regulatory expectations.
- Support Trading & Education and research-related functions with legal guidance and issue resolution.
Regulatory Engagement & Advocacy
- Monitor and analyze regulatory developments, rulemaking, and market structure changes impacting trading and derivatives activities.
- Engage with regulators, exchanges, and industry bodies to interpret requirements and advocate for the firm’s positions.
Leadership & Collaboration
- Lead and develop legal talent, including direct oversight of Director-level counsel.
- Collaborate across Legal, Risk, Compliance, and business teams to ensure consistent and effective legal support.
- Manage outside counsel on complex or high-impact matters.
Work Environment & Scope
- Enterprise-level role within Legal Services supporting Trading, Markets & Operations.
- Direct oversight of Director-level counsel (span of control: 1 direct report).
- Regular engagement with senior business leaders, regulators, and external stakeholders.
- High-impact role influencing regulatory risk posture and business strategy for trading and derivatives activities.
What you have
Basic Qualifications (Required Experience)
- Juris Doctor (JD) from an accredited law school and active bar membership in good standing.
- Significant legal experience in financial services, with deep expertise in:
- Commodities regulation (Commodity Exchange Act, CFTC, NFA rules).
- Broker-dealer regulation (Exchange Act, FINRA rules, margin and trading regulations).
- Securities laws related to offerings, disclosures, and investment products.
- Demonstrated experience advising on derivatives, futures, and complex investment products within broker-dealer and/or FCM environments.
- Proven ability to interpret evolving regulatory requirements and provide clear, actionable guidance to senior stakeholders.
- Experience engaging with regulatory agencies and addressing complex regulatory issues.
- Strong leadership experience, including managing legal professionals and influencing senior business leaders.
Preferred Qualifications (Preferred Experience)
- Experience operating at an enterprise level within a large, regulated financial institution.
- Familiarity with trading operations, including execution and clearing frameworks, futures risk management programs, and market data regulations.
- Experience supporting complex product governance and new product development initiatives.
- Exposure to research and trading-adjacent business functions (e.g., investment research, trading enablement).
- Strong cross-functional collaboration skills with the ability to influence across Legal, Risk, Compliance, and business teams.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan.
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions.
- Paid parental leave and family building benefits.
- Tuition reimbursement.
- Health, dental, and vision insurance.
Eligible Schwabbies receive
- Medical, dental and vision benefits.
- 401(k) and employee stock purchase plans.
- Tuition reimbursement to keep developing your career.
- Paid parental leave and adoption/family building benefits.
- Sabbatical leave available after five years of employment.
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.