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Broker Dealer Jobs (NOW HIRING)

Finalis

$110 - $140/hr

The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program throughout the lifecycle of our registered representatives, from onboarding and registration through ...

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SEI Investments

Broker Dealer Analyst

Oaks, PA · On-site

Individuals must work with the National Broker Dealer Sales staff, Advisor Network Sales Team, and SEI Private Trust Company. Middle Office Operations Analysts are dedicated to providing the absolute ...

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How much do broker dealer jobs pay per hour?

As of Sep 5, 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 a broker dealer?

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.

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 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.

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.

Is being a broker dealer a high paying job?

A broker-dealer is a firm that buys and sells securities on behalf of clients and earns commissions or fees. Compensation for individuals working in broker-dealer firms varies based on experience, performance, and the specific role, with many earning above-average salaries in the financial industry. Successful brokers often have strong sales skills, industry certifications, and a thorough understanding of financial markets.

What does a broker dealer do?

A broker dealer is a financial firm or individual 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 providing investment advice and executing trades through trading platforms. Broker dealers are regulated by financial authorities and require licensing, such as FINRA registration, to operate legally.
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Broker Dealer jobs near you
Infographic showing various Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 94% Full Time, 5% Part Time, and 1% Contract. Highlights an 91% Physical, 2% Hybrid, and 7% Remote job distribution, with an average salary of $72,491 per year, or $34.9 per hour.

Director, Broker Dealer Controller

Abacus Group, LLC

Jersey City, NJ • On-site

Other

Posted 9 days ago

Job description

Our client is a global bank. They seek a Director, Broker Dealer Controller to join their Jersey City, NJ office.


Responsibilities

  • Direct month-end close and financial reporting processes to ensure accuracy, timeliness, and compliance with US GAAP, IFRS, and regulatory standards
  • Lead a multi-location accounting team supporting U.S. broker-dealer and affiliated entity financial operations
  • Validate revenue, expense, and balance sheet reporting to ensure accurate financial statement presentation under US GAAP and IFRS
  • Collaborate with head office finance control teams to support reporting, controls, and disclosure requirements
  • Liaise with regulators, external auditors, and internal audit teams to manage inquiries and ensure the timely resolution of audit matters
  • Oversee all internal and external audit activities, including coordination, deliverables, and closure of audit findings
  • Strengthen internal control frameworks and governance structures to maintain audit readiness and regulatory compliance
  • Monitor adherence to policies, procedures, and reporting requirements across U.S. broker-dealer entities
  • Advise on complex transactions, new products, and accounting standards in partnership with cross-functional stakeholders
  • Drive finance transformation initiatives, including ERP enhancements, automation, analytics, and AI-enabled process improvements


Requirements

  • 10+ years relevant experience
  • Combo or private experience
  • Experience with financial products across capital markets, wealth management, and retail banking
  • In-depth experience and knowledge of IFRS and GAAP accounting requirements
  • Strong understanding of regional and global P&L reporting
  • General understanding of SEC and FINRA regulatory reports
  • CPA is preferred
  • Series 27 is a plus


JobID: 48363

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