ZipRecruiter

Log In

1

Broker Dealer Jobs (NOW HIRING)

CXG Holdings Inc

NY · On-site

$150 - $175/hr

Vision insurance Managing Director / Broker-Dealer Services Location: Smithtown, NY (In-Person) Employment Type: Full-Time Compensation: $150,000 - $175,000 Base Salary + Performance Bonus ...

next page

Showing results 1-20

All JobsBroker Dealer Jobs

Broker Dealer information

See salary details

$5

$34

$65

How much do broker dealer jobs pay per hour?

As of Jul 27, 2026, the average hourly pay for broker dealer in the United States is $34.85, according to ZipRecruiter salary data. Most workers in this role earn between $25.96 and $25.96 per hour, depending on experience, location, and employer.

What is the role of a broker-dealer?

A broker-dealer is a person or firm that buys and sells securities on behalf of clients (broker) or for its own account (dealer). They facilitate transactions in financial markets, ensure compliance with regulations, and often require licensing such as the Series 7 and Series 63 exams. Broker-dealers play a key role in providing investment services and market liquidity.

What are the most common challenges faced by broker dealers when managing client relationships?

Broker dealers often face the challenge of balancing regulatory compliance with providing tailored investment advice to clients. Maintaining transparent communication, addressing clients’ evolving financial needs, and staying updated on changing market conditions are crucial aspects of the role. Additionally, broker dealers must ensure all recommendations and transactions align with both the client’s objectives and strict industry regulations, which can be demanding in a fast-paced environment. Building trust and long-term relationships requires ongoing education, responsiveness, and adaptability.

What are broker dealers?

Broker dealers are individuals or firms that are in the business of buying and selling securities on behalf of clients (as brokers) and for their own accounts (as dealers). They play a key role in financial markets by facilitating trades, providing liquidity, and sometimes offering investment advice. Broker dealers must register with regulatory authorities like the SEC and FINRA in the United States, and they are subject to strict rules to protect investors. They can work with individual investors, institutional clients, or both, depending on their business model.

How long does it take to become a broker-dealer?

Becoming a broker-dealer involves establishing a firm that is registered with the SEC and FINRA, which typically requires passing the Series 7 and Series 24 exams. The process can take several months to a year, depending on preparation time, licensing requirements, and regulatory approval. Additionally, individuals must meet certain experience and background standards before registration is approved.

How much does a broker-dealer make?

A broker-dealer's earnings vary widely based on experience, location, and performance, but they typically earn a combination of salary and commissions. Entry-level broker-dealers may earn around $50,000 to $70,000 annually, while experienced professionals can make over $200,000 or more, especially with high sales volume and client base. Compensation often includes bonuses and incentives tied to sales performance.

What are the key skills and qualifications needed to thrive as a Broker Dealer, and why are they important?

To thrive as a Broker Dealer, a strong background in finance, securities regulations, and market analysis is essential, typically supported by a relevant degree and FINRA licenses (such as Series 7 and 63). Familiarity with trading platforms, risk management software, and compliance systems is crucial for daily operations and regulatory adherence. Exceptional communication, ethical judgment, and client relationship management skills help professionals excel in this role. These competencies ensure legal compliance, effective client service, and successful navigation of complex financial markets.

What is the difference between Broker Dealer vs Registered Representative?

AspectBroker DealerRegistered Representative
CredentialsRegistered with FINRA, often holds Series 7 and Series 63 licensesRequires Series 7, Series 63, and registration with a Broker Dealer
Work EnvironmentOperates within a brokerage firm, handling client transactions and salesWorks under a Broker Dealer, directly engaging with clients to sell securities
Industry UsageLegal entity that facilitates securities transactionsIndividual sales professional working for a Broker Dealer

The main difference is that a Broker Dealer is a firm authorized to buy and sell securities, while a Registered Representative is an individual working for that firm, engaging in client sales and transactions. Both roles require similar licenses and operate within the same industry environment, but one is the company, and the other is the individual representing it.

What does a broker-dealer do?

A broker-dealer is a person or firm that buys and sells securities on behalf of clients or for their own account. They facilitate transactions in stocks, bonds, and other financial instruments, often requiring licensing such as the Series 7 and Series 63 exams. Broker-dealers are regulated by financial authorities to ensure compliance and protect investors.
More about Broker Dealer jobs
What cities are hiring for Broker Dealer jobs? Cities with the most Broker Dealer job openings:
What are the most commonly searched types of Broker Dealer jobs? The most popular types of Broker Dealer jobs are:
What states have the most Broker Dealer jobs? States with the most job openings for Broker Dealer jobs include:
What job categories do people searching Broker Dealer jobs look for? The top searched job categories for Broker Dealer jobs are:
Broker Dealer jobs near you
Infographic showing various Broker Dealer job openings in the United States as of July 2026, with employment types broken down into 2% As Needed, 89% Full Time, 5% Part Time, and 4% Contract. Highlights an 78% Physical, 7% Hybrid, and 15% Remote job distribution, with an average salary of $72,491 per year, or $34.9 per hour.
Lead Compliance, Broker / Dealer

Lead Compliance, Broker / Dealer

Mutual of America Life Insurance Company

Boca Raton, FL

$97K - $146K/yr

Full-time

Posted 6 days ago

Job description

Mutual of America Financial Group
Job Title: Lead Compliance, Broker / Dealer
Location: Boca Raton, FL (hybrid) or New York, NY (hybrid)

Who We Are:

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals. We work diligently to understand the needs of our customers so we can help them achieve their retirement savings goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

Role Summary:

Mutual of America's Compliance Department is seeking a Lead, Compliance with direct or related experience in broker/dealer compliance to assist the Vice President, Head of Broker/Dealer Compliance in managing the compliance program of the Company's broker/dealer subsidiary. In this role, you will contribute to the success of the compliance program and will have the opportunity to work closely with the management of the broker/dealer.

Responsibilities:

  • Work with the Vice President, Head of Broker/Dealer Compliance on all aspects of the operations and personnel of the broker/dealer
  • Assist the VP, Head of Broker/Dealer Compliance with managing engagements with the firms outside compliance vendors
  • Manage and conduct branch office inspections, including implementation of remediation plans.
  • Assist with drafting changes to written supervisory procedures and other broker-dealer compliance manuals
  • Assist with the review of employee-related compliance requests, and escalate to department leadership, as necessary
  • Continually evaluate systems used to meet the requirements of applicable rules and regulations and propose enhancements to increase efficiency and effectiveness
  • Assist with drafting annual training materials and provide in-person or virtual live training to registered personnel on relevant topics
  • Assist with regulatory inquiries and help prepare responses under tight deadlines
  • Manage the process for issuing disciplinary actions in coordination with the Head of Broker/Dealer Compliance
  • Perform reviews of registered representatives' electronic communications, maintain the electronic communications supervision system’s configuration, and perform efficacy reviews of the system’s supervision rules on a quarterly basis, suggesting improvements and refinements
  • Actively promote compliance awareness among sales and service personnel

Required Qualifications:

  • Bachelor’s degree
  • Knowledge of FINRA and SEC rules applicable to broker/dealers
  • FINRA Series 6 and Series 26 or the ability to obtain both within six months of hire
  • 3-5 years of experience in broker/dealer compliance or a related role
  • Meticulous attention to detail
  • Highly motivated self-starter with a desire to work in a faced -aced environment
  • Strong written and oral communication skills
  • Strong interpersonal skills with the ability to collaborate with various business units at all levels
  • Ability to organize and prioritize workflow and assignments
  • Ability to exercise discretion and maintain the highest level of confidentiality
  • Advanced proficiency in Microsoft Excel, Word, and PowerPoint.

What we offer you:

  • Competitive base salary
  • Annual Bonus
  • Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment
  • 401(k) Match: 100% Employer Match on up to 6% of employee contributions (Salary and Incentive Comp)
  • Parental Leave: 8 weeks fully paid
  • Paid time off: 20 days plus two floating personal holidays

The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus; whereby total compensation may exceed this range depending on individual and / or company performance.

Base Salary Range:

Boca Raton, FL: $97,900 - $146,800

New York, NY: $113,300 - $170,000

Visit www.mutualofamerica.com/careers for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica

Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.