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Broker Dealer Attorney Jobs (NOW HIRING)

Jane Street

Regulatory Exam Manager

New York, NY · On-site

Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading ... Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this ...

Jane Street

Regulatory Exam Manager

New York, NY

Have worked directly with the SEC, FINRA, and other regulators at a bank, broker-dealer, trading ... Have a bachelor's degree (having a JD is a plus, though you will not be acting as a lawyer in this ...

USI Holdings Corporation

Senior ERISA Attorney

As a Senior ERISA Attorney, you will provide strategic direction and advanced regulatory guidance ... USICG is an affiliate of both USI Securities, Inc. (a broker-dealer, Member FINRA/SIPC) and USI ...

USI Holdings Corporation

ERISA Attorney

Description and Requirements ERISA attorney who will provide technical regulatory and compliance ... USICG is an affiliate of both USI Securities, Inc. (a broker-dealer, Member FINRA/SIPC) and USI ...

Citizens

Assistant General Counsel

Tarrytown, NY · On-site

$176K - $230K/yr

Description Citizens is seeking a motivated and detail-oriented attorney to serve as Counsel ... Broker-dealer regulatory framework ( e.g., SEC and FINRA rules) * Support compliance and risk ...

Citizens

Assistant General Counsel

Westwood, MA · On-site

$176K - $230K/yr

Description Citizens is seeking a motivated and detail-oriented attorney to serve as Counsel ... Broker-dealer regulatory framework ( e.g., SEC and FINRA rules) * Support compliance and risk ...

Citizens

Assistant General Counsel

New York, NY · On-site

$176K - $230K/yr

Description Citizens is seeking a motivated and detail-oriented attorney to serve as Counsel ... Broker-dealer regulatory framework ( e.g., SEC and FINRA rules) * Support compliance and risk ...

Citizens

Assistant General Counsel

Tarrytown, NY

$176K - $230K/yr

Description Citizens is seeking a motivated and detail-oriented attorney to serve as Counsel ... Broker-dealer regulatory framework ( e.g., SEC and FINRA rules) * Support compliance and risk ...

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Broker Dealer Attorney information

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$30.5K

$59.1K

$85K

How much do broker dealer attorney jobs pay per year?

As of Sep 4, 2026, the average yearly pay for broker dealer attorney in the United States is $59,058.00, according to ZipRecruiter salary data. Most workers in this role earn between $44,000.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a broker dealer attorney?

A Broker Dealer Attorney is a legal professional who specializes in the laws and regulations governing broker-dealers—firms or individuals involved in the buying and selling of securities. They advise clients on compliance with federal and state securities laws, assist with registrations, help structure transactions, and represent clients in regulatory investigations or enforcement actions. Broker Dealer Attorneys play a critical role in ensuring their clients operate within the complex regulatory framework overseen by agencies like the SEC and FINRA.

What are the key skills and qualifications needed to thrive as a broker dealer attorney, and why are they important?

To thrive as a Broker Dealer Attorney, you need a Juris Doctor (JD) degree, state bar admission, and deep knowledge of securities laws and FINRA regulations. Familiarity with legal research tools such as Westlaw or LexisNexis and experience with compliance management systems are typically required. Strong analytical thinking, attention to detail, and effective communication skills are essential for advising clients and negotiating with regulators. These competencies ensure legal compliance, mitigate risks, and support clients in navigating the complex financial regulatory environment.

What are some common challenges broker dealer attorneys face when navigating regulatory compliance?

Broker Dealer Attorneys often encounter challenges related to the constantly evolving landscape of securities regulations and ensuring their clients' operations remain compliant with SEC and FINRA rules. Keeping up with frequent regulatory updates, managing complex disclosure requirements, and advising on issues such as anti-money laundering and cybersecurity are typical hurdles. Additionally, they must work closely with compliance officers, internal legal teams, and external regulators to interpret guidance and implement effective compliance programs while mitigating legal risks.

What is the difference between Broker Dealer Attorney vs Securities Compliance Officer?

AspectBroker Dealer AttorneySecurities Compliance Officer
CredentialsJ.D. degree, State Bar license, securities law certificationsDegree in finance, law, or related field; securities compliance certifications often preferred
Work EnvironmentLaw firms, in-house legal teams, regulatory agenciesFinancial firms, broker-dealers, investment firms
Employer & IndustryLegal service providers, broker-dealers, financial institutionsBroker-dealers, investment firms, financial services companies
Search & ComparisonLegal expertise in securities laws, regulatory compliance, legal adviceRegulatory adherence, internal compliance monitoring, risk management

While both roles focus on securities regulations, a Broker Dealer Attorney provides legal advice and handles legal matters related to broker-dealer operations, whereas a Securities Compliance Officer manages ongoing compliance programs within financial firms to ensure adherence to regulations.

More about Broker Dealer Attorney jobs

What cities are hiring for Broker Dealer Attorney jobs?

Cities with the most Broker Dealer Attorney job openings:

What states have the most Broker Dealer Attorney jobs?

States with the most job openings for Broker Dealer Attorney jobs include:

What job categories do people searching Broker Dealer Attorney jobs look for?

The top searched job categories for Broker Dealer Attorney jobs are:

Broker Dealer Attorney jobs near you
Infographic showing various Broker Dealer Attorney job openings in the United States as of August 2026, with employment types broken down into 86% Full Time, 13% Part Time, and 1% Contract. Highlights an 71% Physical, 8% Hybrid, and 21% Remote job distribution, with an average salary of $59,058 per year, or $28.4 per hour.

Financial Services Associate Attorney

Direct Counsel

Boston, MA

$260K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 26 days ago

Job description

Financial Services Associate Attorney
Locations: Boston, MA | Los Angeles, CA | New York, NY | Philadelphia, PA | San Francisco, CA | Washington, DC

Direct Counsel is seeking a Financial Services Associate Attorney to join the Financial Services practice of a premier Am Law firm. This is an exceptional opportunity to advise leading financial services firms, asset managers, investment advisers, and investment funds on a broad range of regulatory and transactional matters within one of the industry's most respected practices.

The ideal candidate will have 3–7 years of experience with a strong understanding of federal securities laws and an interest in advising clients on the evolving regulatory landscape affecting the asset management industry.

Responsibilities

  • Advise asset managers, investment advisers, investment funds, broker-dealers, and other financial services firms on federal securities laws and regulatory compliance.

  • Counsel clients on matters involving the Investment Company Act, Investment Advisers Act, and other applicable securities regulations.

  • Assist clients with fund formation, registration, regulatory examinations, enforcement matters, and ongoing compliance obligations.

  • Advise on cross-border regulatory issues affecting investment advisers and investment funds.

  • Provide guidance on emerging issues involving exchange-traded funds (ETFs), interval funds, business development companies (BDCs), commodities regulation, blockchain, and digital assets.

  • Collaborate with attorneys across multiple practice areas to provide strategic legal advice on complex financial services and asset management matters.

Qualifications

  • J.D. from an accredited law school with strong academic credentials.

  • 3–7 years of experience in financial services regulation, investment management, or securities law.

  • Strong knowledge of the Investment Company Act and/or the Investment Advisers Act.

  • Experience with exchange-traded funds (ETFs), interval funds, business development companies (BDCs), broker-dealer regulation, commodities regulation, global asset management regulation, or digital assets is a plus.

  • Large law firm, in-house, or regulatory agency experience is preferred.

  • Excellent analytical, drafting, communication, and organizational skills.

  • Active bar admission, or eligibility for admission, in the jurisdiction where the candidate will be based.

Compensation & Benefits

  • Salary: Starting at $260,000, with compensation commensurate with class year and experience.

  • Comprehensive benefits package including medical, dental, vision, retirement savings, paid time off, professional development opportunities, and additional employee wellness benefits.

This is an outstanding opportunity for an attorney looking to build a sophisticated financial services and investment management practice while advising leading asset managers, investment funds, and financial institutions on cutting-edge regulatory and compliance matters.