291 broker dealer jobs at 145 companies in United States
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Broker/Dealer Compliance, Associate
Short Hills, New Jersey, United States
$100k-$115k/yr OnsiteFull Time
2+ YOE2+ years broker-dealer compliance experience in a FINRA-regulated environment, strong knowledge of securities laws, Series 7 and Series 24 required, detail-oriented with strong organizational and communication skills.
2mo
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Director, Broker Dealer Controller
Jersey City, New Jersey, United States
$160k-$260k/yr OnsiteFull Time
10+ YOE10+ years in financial services/broker-dealer environment; deep knowledge of US GAAP and IFRS; CPA and Series 27 preferred; experience leading teams, interfacing with regulators/auditors, and P&L/reporting expertise.
1mo
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Broker Dealer Senior Accountant
Chicago, Illinois, United States
$110k-$135k/yr OnsiteFull Time
5+ YOEBachelor's in accounting/finance required, 5+ years accounting experience with 2+ years broker-dealer focus, CPA preferred, must pass Series 27 within one year, strong analytical and communication skills.
2mo
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Lead Compliance, Broker / Dealer
Boca Raton, Florida, United States
$98k-$147k/yr HybridFull Time
3+ YOEBachelor's degree, 3-5 years broker/dealer compliance experience, knowledge of FINRA and SEC rules, Series 6 and Series 26 (or ability to obtain within 6 months), advanced Microsoft Excel/Word/PowerPoint, strong communication and attention to detail.
Microsoft Excel, Microsoft Word, Microsoft PowerPoint
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Dir Supervision - Broker Dealer
Cherry Hill or Springfield or United States
$105k-$148k/yr RemoteFull Time
10+ YOE5+ MgmtBachelor's in Business/Finance or equivalent, 10+ years broker-dealer compliance and supervisory experience (5+ years leadership), strong FINRA/SEC knowledge, experience with variable annuities and retirement products, FINRA registrations required.
2w
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Broker-Dealer Accounting Senior Analyst
New York, New York, United States
$100k-$110k/yr HybridFull Time
3+ YOE3+ years accounting experience in financial institutions, US GAAP knowledge, Bachelor's in Accounting, proficiency in Microsoft Office, strong analytical and problem-solving skills; CPA and broker-dealer experience preferred.
Broadridge Impact, Workday Enterprise Management, Microsoft Office
3w
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Broker Dealer Regulatory Reporting Analyst
Whippany, New Jersey, United States
$80k-$105k/yr OnsiteFull Time
Experience with SEC/FINRA broker-dealer regulatory reporting, strong attention to detail, ability to present to stakeholders and liaise with regulators, knowledge of accounting and product/regulatory aspects, and strong communication skills.
1mo
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Managing Director, Broker-Dealer Supervision (PA, Pittsburgh)
Pittsburgh, Pennsylvania, United States
HybridFull Time
10+ YOE10+ years broker-dealer supervision experience, active Series 24 required (Series 9/10 a plus), deep knowledge of FINRA rules (3110/3120/3130), WSP drafting, trade review and electronic communications surveillance experience.
Smarsh, Protegent, Protogent, CAT, TRACE, NFS
3w
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Broker-Dealer Executive – Operations & Regulatory Oversight (Part-Time)
Old Greenwich, Connecticut, United States
HybridPart Time
10+ YOEMinimum 10 years broker-dealer experience; strong SEC and FINRA knowledge; Series 24 active or reactivatable; experience with regulatory reporting, audits, clearing firms, and interacting with regulators.
3mo
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Compliance Officer, Broker-Dealer Advisor - VN2750
New York, New York, United States
$150k-$185k/yr OnsiteFull Time
8+ YOEEight+ years in financial compliance; U.S. broker-dealer regulatory experience; bachelor’s in Finance/Economics/Business (JD or advanced degree desired); strong written and verbal communication; ability to operate in a matrix organization.
1mo
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Broker Dealer Ops Analyst 2
Columbus, Ohio, United States
OnsiteFull Time
1+ YOEHigh school diploma, 1+ year brokerage/onboarding or operations experience, AML/CIP/KYC knowledge, experience with wire/ACH and settlement, FINRA SIE/Series 99 preferred, Microsoft Excel/Outlook proficiency.
Microsoft Excel, Microsoft Outlook
2w
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Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)
New York City or McLean
$121k-$151k/yr OnsiteFull Time
3+ YOEBachelor's degree or military experience and 3+ years in trade surveillance, market regulation, or compliance within a broker-dealer or swap-dealer environment.
NICE Actimize, Eventus Validus, FIS Protegent, UAT, AI
2w
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Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)
New York City or McLean
$121k-$151k/yr OnsiteFull Time
3+ YOEBachelor's degree or military experience and 3+ years in trade surveillance, market regulation, or compliance within a broker-dealer or swap-dealer environment.
NICE Actimize, Eventus Validus, FIS Protegent, User Acceptance Testing (UAT)
2d
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Broker Dealer Hybrid Sales Executive - Rocky Mountains
Phoenix or Littleton
HybridFull Time
5+ YOEFive years of related experience including three years in sales, investment industry knowledge, strong consultative selling and presentation skills, and applicable regulatory licenses or registrations.
3mo
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Compliance Analyst - Broker Dealer
Dallas, Texas, United States
$66k-$95k/yr HybridFull Time
1+ YOE1-3 years in broker-dealer compliance; FINRA Series 7 & 24; high school diploma (Bachelor's preferred); strong regulatory knowledge and analytical skills.
Microsoft Excel, Microsoft Word, PowerPoint, Salesforce
1mo
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LOB Risk Expert Senior - Swap Dealer & Broker Dealer
Pittsburgh or Cleveland or Dallas or Denver or Chicago
$133k-$247k/yr OnsiteFull Time
8+ YOEProvide independent risk oversight for swap dealer and broker-dealer businesses; assess capital markets risk, interpret U.S. securities and swap regulations (Dodd-Frank, FINRA, CFTC, SEC), and translate regulatory requirements into sustainable controls.
2mo
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Director of Operations | Broker Dealer
Miami or Rio de Janeiro or São Paulo
$150k-$200k/yr OnsiteFull Time
5+ YOE5+ years self-clearing broker-dealer operations experience, Series 24 and 27 required, strong regulatory and clearing knowledge, senior operations leadership and stakeholder management across regions.
2w
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Senior IT Auditor- Broker Dealer/Asset Management
Westlake or Austin or Omaha or Lone Tree
$95k-$115k/yr OnsiteFull Time
Experience in internal audit and IT auditing for broker-dealer or asset management environments.
2mo
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Accounting Manager- Capital Markets/Broker-Dealer
Saint Louis or Charlotte or Minneapolis
$112k-$131k/yr HybridFull Time
6+ YOEBachelor's degree in accounting/finance or related field; 6+ years accounting experience; preferred people management; broker-dealer product knowledge.
Excel, Accounting systems
2mo
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Dealer Partnerships Sales Executive
Miami, Florida, United States
HybridFull Time
Experienced partner-focused salesperson skilled in prospecting, consultative selling, pipeline management, analytics, forecasting, and optimizing dealer/broker partnerships.
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