ZipRecruiter

Log In

1

Commission Broker Dealer Jobs (NOW HIRING)

Integritymarketing

Commissions Advisor

Urbandale, IA · On-site

Ensure commission processing adheres to broker-dealer policies, advisor compensation agreements, and regulatory requirements * Support internal and external audits by providing schedules, reports ...

next page

Showing results 1-20

All JobsBroker Dealer JobsCommission Broker Dealer Jobs

Commission Broker Dealer information

See salary details

$11K

$82.4K

$182.5K

How much do commission broker dealer jobs pay per year?

As of Jul 27, 2026, the average yearly pay for commission broker dealer in the United States is $82,428.00, according to ZipRecruiter salary data. Most workers in this role earn between $45,000.00 and $131,500.00 per year, depending on experience, location, and employer.

How does a commission broker dealer typically collaborate with clients and other financial professionals to facilitate trades?

A commission broker dealer works closely with clients to understand their investment goals and execute buy or sell orders on their behalf. They also interact with other financial professionals, such as analysts and trading desk staff, to ensure timely and accurate trade execution. Collaboration often involves clear communication regarding market conditions, compliance requirements, and transaction details to minimize errors and optimize client satisfaction. Building strong relationships with both clients and internal teams is key to handling the fast-paced nature of the trading environment.

What is a commission broker dealer?

A commission broker dealer is a financial professional or firm that buys and sells securities on behalf of clients and earns a commission for each transaction. They act as intermediaries between buyers and sellers in the financial markets, facilitating trades in stocks, bonds, options, and other financial instruments. Commission broker dealers are regulated by the Securities and Exchange Commission (SEC) and must adhere to specific rules and standards to protect investors. Their primary revenue comes from the fees or commissions charged per trade rather than from owning the securities themselves.

How much money do broker-dealers make?

Broker-dealers' earnings vary based on their role, experience, and the volume of transactions they handle. They typically earn commissions, fees, and sometimes a percentage of assets under management, with income potential ranging from moderate to high depending on performance and client base.

What is the difference between Commission Broker Dealer vs Stock Broker?

AspectCommission Broker DealerStock Broker
CredentialsFINRA registration, Series 7, Series 63/66 examsFINRA registration, Series 7, Series 63/66 exams
Work EnvironmentBrokerage firms, financial institutionsBrokerage firms, financial institutions
Employer & IndustryRegistered firms, securities industryRegistered firms, securities industry
Primary RoleFacilitating securities transactions, earning commissionsSelling securities, advising clients

Both roles require similar licenses and work in the securities industry, but a Commission Broker Dealer typically refers to the firm or entity that employs the broker, while a Stock Broker is the individual who executes trades and interacts directly with clients. Understanding these distinctions helps clarify career paths and industry functions.

Do broker-dealers earn commission?

Yes, broker-dealers typically earn commissions on the securities they buy and sell on behalf of clients. Compensation can also include fees, markups, or spreads, depending on the services provided and the firm's structure. Licensing and registration with regulatory bodies are required to legally earn commissions in this role.

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

To thrive as a Commission Broker Dealer, you need strong financial acumen, regulatory knowledge, and typically a relevant degree along with FINRA licenses such as Series 7 and Series 63. Proficiency with trading platforms, compliance systems, and financial analysis tools is crucial. Excellent interpersonal skills, attention to detail, and ethical judgment help build trust and maintain client relationships. These competencies ensure regulatory compliance, effective deal execution, and sustained client satisfaction in a competitive financial environment.

What job pays the most commission?

In the finance industry, commission broker dealers who specialize in high-value transactions, such as investment banking or private equity sales, tend to earn the highest commissions. These roles often require advanced certifications, strong negotiation skills, and a deep understanding of financial markets. Compensation can vary widely based on deal size, experience, and performance, with top earners making significant income from commissions on large deals.

How hard is it to get a job at FINRA?

A Commission Broker Dealer role typically requires relevant licensing such as the Series 7 and Series 63 exams, along with a strong understanding of financial regulations. Entry into the industry can be competitive, often requiring prior experience or education in finance, and employers look for strong communication and compliance skills.
More about Commission Broker Dealer jobs
What cities are hiring for Commission Broker Dealer jobs? Cities with the most Commission 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 Commission Broker Dealer jobs? States with the most job openings for Commission Broker Dealer jobs include:
What job categories do people searching Commission Broker Dealer jobs look for? The top searched job categories for Commission Broker Dealer jobs are:
Commission Broker Dealer jobs near you
Infographic showing various Commission Broker Dealer job openings in the United States as of July 2026, with employment types broken down into 93% Full Time, and 7% Contract. Highlights an 73% In-person, and 27% Remote job distribution, with an average salary of $82,428 per year, or $39.6 per hour.
Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)

Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)

Capital One

Mclean, VA • On-site

Full-time

Posted 22 days ago

Capital One rating

7.7

Company rating: 7.7 out of 10

Based on 145 frontline employees who took The Breakroom Quiz

91st of 170 rated banks

Job description

Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)About the Role

We are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and enhancing Capital One's Commercial Banking market conduct surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will conduct day-to-day surveillance monitoring, lead deep-dive investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association) regulatory requirements and regulatory expectation.

The ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets. Experience with other asset classes, including Interest Rates, FX, Equities, and Fixed Income is preferred. The candidate should demonstrate robust analytical and investigative capabilities, sound judgment, and a proven track record of handling complex trade investigations within a highly regulated trading environment.

ResponsibilitiesAdvanced Market Abuse Investigation & Alert Review

  • Targeted Alert Dispositioning: Execute daily surveillance reviews and complex alert analyses for both Broker-Dealer and Swap Dealer trading activities, focusing heavily on identifying potential market abuse.

  • Core Scenario Coverage: analyze cross-market execution data to detect, evaluate, and disposition core manipulative patterns, including:Spoofing & Layering, Wash Trading, Quote Stuffing, Front-Running: Pinging, Escalation Management:

  • Formally escalate high-risk trading anomalies and potential regulatory breaches to Compliance management in accordance with the firm's escalation matrix.

Program Support & Parameter Calibration

  • Assist management in the ongoing maintenance and optimization of surveillance procedures, alert logic, and parameter settings within vendor platforms.

  • Participate in lookback reviews, scenario testing, and calibration exercises to reduce false positives while maintaining robust risk coverage.

Data Integrity & Systems Reconciliation

  • Perform periodic data completeness and accuracy checks for both BD and SD surveillance feeds.

  • Conduct reconciliations between trading systems of record and the trade surveillance platform, identifying and tracking data gaps or ingestion exceptions to resolution.

  • Support User Acceptance Testing (UAT) for new surveillance models, system upgrades, and product launches.

Documentation & Reporting

  • Maintain comprehensive, audit-ready documentation of all alert reviews, ensuring defensive closing rationales and rigorous evidentiary trails.

  • Assist in the aggregation of weekly and monthly surveillance metrics and reporting for senior management.

Regulatory Inquiry & Audit Support

  • Gather documentation and perform initial analysis to support responses for internal audits and regulatory inquiries/examinations (SEC, FINRA, CFTC, NFA).

Collaboration

  • Collaborate effectively with Compliance Advisory, Product, Technology, Risk, and Line of Business to resolve compliance issues.

Basic Qualifications

  • Bachelor's Degree in Finance, Economics, Business, Mathematics, Statistics, Science, Engineering, Quantitative field, or military experience

  • At least 3 years of trade surveillance, or market regulation, or At least 3 years of compliance experience within a Broker-Dealer or Swap-Dealer environment.

Preferred Qualifications

  • Regulatory Knowledge: Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation, and trade reporting.

  • Systems Experience: Hands-on experience utilizing rule-based surveillance platforms (NICE Actimize, Eventus Validus, FIS Protegent).

  • Product Depth: Familiarity with OTC swaps (IRS, FX, Commodities) and traditional securities (Equities, Fixed Income).

  • Certifications: Relevant industry certifications or progress toward them (FINRA Series 7, NFA Swap Dealer Associated Person proficiency testing).

  • Skills: Excellent analytical problem-solving skills, strong written communication for drafting investigative summaries, leveraging AI and emerging technologies to optimize surveillance workflows and the ability to manage multiple priorities in a fast-paced environment.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III


New York, NY: $131,800 - $150,500 for Compliance Advisory Specialist III










Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

What Capital One employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom

Apply