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Commission Broker Dealer Jobs (NOW HIRING)

hppmliving

Investor Relations Associate

Old Lyme, CT · On-site

$80 - $90/hr

... broker-dealer transitions to the transfer agent. * Assist in resolving investor questions ... Experience working with broker-dealers, RIAs, and financial advisors. * Familiarity with commission ...

New

ADP, Inc.

Investor Relations Associate

Old Lyme, CT · On-site

$80 - $90/hr

... broker-dealer transitions to the transfer agent. * Assist in resolving investor questions ... Experience working with broker-dealers, RIAs, and financial advisors. * Familiarity with commission ...

New

Visa Hunt

Senior Accountant, Capital Markets

Manhattan, NY · On-site

$130.90 - $154/hr

You'll own the accounting and regulatory reporting for our registered Futures Commission Merchant (FCM) and Broker-Dealer entities, helping ensure financial integrity, regulatory compliance, and ...

Tri counties bank

Financial Advisor

Bakersfield, CA · On-site

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri Counties Bank

Financial Advisor

Chico, CA

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri counties bank

Financial Advisor

Fresno, CA · On-site

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri counties bank

Financial Advisor

Chico, CA · On-site

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri Counties Bank

Financial Advisor

Chico, CA · On-site

$70 - $150/hr

Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commission(s) * Maintains NDIP Investment center ...

Tri Counties Bank

Financial Advisor

Fresno, CA

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri Counties Bank

Financial Advisor

Bakersfield, CA · On-site

$70K - $150K/yr

OTHER RESPONSIBILITIES • Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions • ...

Tri Counties Bank

Financial Advisor

Bakersfield, CA · On-site

$70 - $150/hr

Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions * Maintains NDIP Investment center ...

Tri Counties Bank

$70 - $150/hr

Participates in continuing educational courses through the Bank, the current broker/dealer, FINRA, various insurance carriers and the State Insurance Commissions * Maintains NDIP Investment center ...

Atrium

Regulatory Reporting Director

Manhattan, NY · On-site

$165K - $218K/yr

S. broker-dealer, ensuring compliance with SEC and FINRA requirements while supporting strategic ... Other compensation programs may include overtime, shift differentials, bonuses, commissions, or ...

Suron A.C.A. Ltd.

$140 - $175/hr

Mid West- Compensation- External $140-175k base salary- (25-40 Basis points on Commissions ... This territory includes a mix of top-tier wirehouse teams and large independent broker-dealer and ...

allianthcm

Commissions Analyst II

Omaha, NE · Hybrid

... broker/dealer or experience calculating bonus/commission payments SKILLS Knowledge of general office forms, processes and procedures. Skill in negotiating and problem-solving to resolve internal and ...

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Commission Broker Dealer information

See salary details

$11K

$82.4K

$182.5K

How much do commission broker dealer jobs pay per year?

As of Sep 6, 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.

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 does a commission broker dealer 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 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 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 commission broker dealers earn commission?

Commission broker dealers earn income primarily through commissions on the securities they buy and sell for clients. Their compensation depends on the volume and value of transactions they facilitate, and they often need licenses such as the Series 7 to operate legally. This commission-based structure is a key aspect of their role in the financial industry.
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Cities with the most Commission Broker Dealer job openings:

What are the most commonly searched types of Broker Dealer jobs?

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Commission Broker Dealer jobs near you
Infographic showing various Commission Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 9% Part Time, and 6% Contract. Highlights an 69% Physical, 1% Hybrid, and 30% Remote job distribution, with an average salary of $82,428 per year, or $39.6 per hour.

Investor Relations Associate

hppmliving

Old Lyme, CT • On-site

$80 - $90/hr

Other

Posted 2 days ago

New

Job description

Investor Relations Associate

Full Time 30-39 Hour Hamilton Point Property Management LLC, Old Lyme, CT, US

3 days ago Requisition ID: 1209

Salary Range: $80,000.00 To $90,000.00 Annually

Investor Relations Associate Position Overview

The Investor Relations Associate supports the Investor Relations (IR) team in maintaining strong communication while supporting the firm’s investor servicing, fundraising operations, and capital formation efforts across multiple real estate investment vehicles. This individual will interface directly with investors, financial advisors, broker-dealers, and internal stakeholders, ensuring accuracy and execution across investor operations, fund launches, and capital raises.

This role provides hands-on exposure to private equity fund operations, fundraising strategy, investor analytics, and the full lifecycle of real estate investment vehicles.

Key Responsibilities

  • Answer, screen, and direct incoming general investor inquiries via phone or email for investors, financial representatives, custodians, and broker-dealers in a professional manner.
  • Track account updates provided to our transfer agent, including transfers, distribution instructions, beneficiary changes (TODs), and broker-dealer transitions to the transfer agent.
  • Assist in resolving investor questions, including account maintenance inquiries.
  • Coordinate and update comprehensive investor tracking sheets, cross-referencing subscription documents, broker-dealer data, and internal records.
  • Maintain investor databases and CRM systems, ensuring accuracy and completeness of all investor records.
  • Continuously improve reporting processes, tracking methodologies, and operational workflows.
  • Assist across investor relations and sales teams in preparing for conferences, meetings, shareholder communications, and fundraising initiatives.
Qualifications
  • 1–4 years of experience in investor relations, capital markets, real estate private equity, or financial services.
  • Understanding of private fund structures, including capital raising mechanics, commissions, and investor onboarding.
  • Excellent written and verbal communication skills.
  • Strong attention to detail.
  • Ability to manage multiple priorities in a deadline-driven environment.
Preferred Experience
  • Experience working with broker-dealers, RIAs, and financial advisors.
  • Familiarity with commission structures, subscription documents, and fundraising closes.
  • Experience with CRM systems (e.g., STAR).
  • Exposure to real estate investment strategies and vehicles (e.g., DSTs, private equity funds).

This full-time, in-office position will be based in Old Lyme, CT, and will report to the Senior Vice President of Investor Relations/Fund Operations.

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