ZipRecruiter

Log In

1

Commission Broker Dealer Jobs (NOW HIRING)

Clear Street

Director, AML

New York, NY · On-site

$160K - $215K/yr

Clear Street is seeking an AML Compliance Director who is a self-driven subject matter expert with deep knowledge of AML regulatory requirements across broker-dealer and futures commission merchant ...

Staffingine LLC

Accounting Operations

Urbandale, IA · On-site

... broker-dealer industry * You will perform a critical cash application function within the ... so commissions can be applied more efficiently. * Work with Supervisory Principal and Reps as ...

Clear Street

Director, AML

New York, NY · On-site

$160K - $215K/yr

Clear Street is seeking an AML Compliance Director who is a self-driven subject matter expert with deep knowledge of AML regulatory requirements across broker-dealer and futures commission merchant ...

Osaic

Senior Compensation Advisor

Oakdale, MN · Hybrid

$43K - $48K/yr

... or broker-dealer environment * Advanced Microsoft Excel skills (e.g., pivot tables, formulas, data analysis) * Experience with commission systems, payroll processing, or transaction processing ...

Osaic

Senior Compensation Advisor

La Vista, NE · Hybrid

$43K - $48K/yr

... or broker-dealer environment * Advanced Microsoft Excel skills (e.g., pivot tables, formulas, data analysis) * Experience with commission systems, payroll processing, or transaction processing ...

Osaic

Senior Compensation Advisor

Scottsdale, AZ · Hybrid

$43K - $48K/yr

... or broker-dealer environment * Advanced Microsoft Excel skills (e.g., pivot tables, formulas, data analysis) * Experience with commission systems, payroll processing, or transaction processing ...

previous page

Showing results 41-60

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 Aug 16, 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 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.

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.

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.
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 August 2026, with employment types broken down into 100% Full Time. Highlights an 80% In-person, and 20% Remote job distribution, with an average salary of $82,428 per year, or $39.6 per hour.

Futures Surveillance Compliance Associate , Chicago

Societe Generale

Chicago, IL • On-site

Full-time

Re-posted 22 days ago

Job description

Division Description:

Wholesale Banking is the primary investment banking division of the Societe Generale Group. Present in over 50 countries across Europe, the Americas and Asia, Wholesale Banking provides corporate, financial institutions, investors, and public-sector clients with value-added integrated financial solutions.

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls.

The Department oversees compliance with external and internal rules that govern our banking and financial activities including Know Your Customer, anti-money laundering, anti-terrorism financing, sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and data protection. Additionally, it conducts trade and communications surveillance, and manages transversal support functions that help the Department achieve its goals.

Trade Surveillance alerts review:

    Review of trade surveillance alerts and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution;

    Participate in the development, testing and implementation of new and existing Trade Surveillance controls. ;

    Perform user acceptance and reasonability testing of Trade Surveillance controls;

    Contribute to the preparation management metrics and reporting;

Projects participation:

    Participate in regional and global compliance initiatives and investigations;

    Review and analyze new and/or amended industry rules and regulations;

    Assess new business initiatives and their potential impact to the  Trade Surveillance program

Must Have:

  • 2-4 years of experience ideally in either Trade Surveillance (in particular Futures and/or Fixed Income), General Compliance, Front Office Trading and/or Financial Services
  • General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
  • Strong attention to detail
  • Ability to work independently
  • Ability to prioritize and work in a dynamic, deadline-focused environment
  • Exemplary personal ethics and desire to always adhere to rules and regulations
  • Ability to work well in a highly diverse team
  • Ability to communicate well across all levels of an organization
  • Demonstrated history of taking initiative
  • Proficiency in Excel, Word and PowerPoint
  • Excellent research and analytical skills
  • Excellent written and verbal communication skills

Apply