ZipRecruiter

Log In

1

Contract Broker Dealer Jobs (NOW HIRING)

moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

$100K - $145K/yr

Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and ... or implied contract of employment or guarantee of employment for any specific duration. Futu ...

moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

$100K - $145K/yr

Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and ... or implied contract of employment or guarantee of employment for any specific duration. Futu ...

moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

$100K - $145K/yr

Note that this entity is not a licensed broker-dealer. For deeper insights into our entities and ... or implied contract of employment or guarantee of employment for any specific duration. Futu ...

Collabera

Compliance Analyst

Charlotte, NC · On-site

$30/hr

Contract duration: 5 months Pay rate: $30/hr Investigator / Client Managed Green Team Possesses ... Retail and/or Institutional Broker/Dealer experience * Exemplify ability to mitigate risk. * Self ...

Genesis10

Senior Programmer/Analyst - Hybrid

Columbus, OH · On-site

$69.10 - $71.24/hr

... broker dealer, and commercial banking applications Develop and maintain modern full-stack ... For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement ...

Genesis10

Senior Programmer/Analyst - Hybrid

Columbus, OH · On-site

$69.10 - $71.24/hr

Exposure to Foreign Exchange (FX), trading, broker dealer, or commercial banking applications ... For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement ...

Envestnet

Senior Legal Counsel

Raleigh, NC

$135K - $184K/yr

Advise on broker-dealer regulatory matters and guidance on FINRA and SEC requirements. * Draft ... Ensures that contract terms and conditions align with the company's interests and legal and ...

lincoln

Contracts Attorney

Fort Washington, PA · On-site

... broker dealer and registered investment advisor that offers brokerage, investment advisory and ... Maintain contract templates. Advocate for best practices in contract management, vendor due ...

next page

Showing results 1-20

All JobsContract Broker Dealer Jobs

Contract Broker Dealer information

See salary details

$11K

$82.4K

$182.5K

How much do contract broker dealer jobs pay per year?

As of Jul 26, 2026, the average yearly pay for contract 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 do broker-dealers get paid?

Broker-dealers earn compensation primarily through commissions and fees on transactions such as buying and selling securities. They may also receive markups, spreads, or advisory fees depending on the services provided and the type of securities involved. Compensation structures often require licensing and adherence to regulatory standards.

How do independent broker-dealers make money?

Independent broker-dealers generate revenue primarily through commissions and fees on the financial products and services they sell, such as investment advice, trading, and asset management. They may also earn ongoing fees like asset-based or advisory fees, and their income depends on the volume of transactions and client assets they manage. Success in this role often requires strong sales skills and regulatory compliance knowledge.

How much does a broker-dealer make?

A broker-dealer's earnings vary based on experience, client base, and commission structure, but they typically earn a combination of commissions, fees, and salaries. Entry-level broker-dealers may earn around $50,000 to $70,000 annually, while experienced professionals can make over $200,000 or more with bonuses and incentives. Success in this role often depends on sales skills, industry knowledge, and regulatory compliance.

What does a broker-dealer do?

A broker-dealer is a person or firm 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 working under regulatory requirements and holding necessary licenses. Broker-dealers also provide investment advice and ensure compliance with industry regulations.

What is the difference between Contract Broker Dealer vs Registered Representative?

AspectContract Broker DealerRegistered Representative
CredentialsFINRA registration, Series 7, Series 63/66FINRA registration, Series 7, Series 63/66
Work EnvironmentWorks for broker-dealer firms, handling client accounts and complianceWorks under broker-dealer, selling securities and advising clients
Employer & Industry UsageBroker-dealer firms, financial services industryBroker-dealer firms, securities industry
Comparison Search IntentUnderstanding roles within broker-dealer firmsSales and client advisory roles in securities

The main difference is that a Contract Broker Dealer is a registered entity or firm that employs or contracts with Registered Representatives. The Contract Broker Dealer oversees compliance and regulatory requirements, while Registered Representatives are individual salespersons who sell securities and advise clients under the broker-dealer's license. Both roles require similar certifications, but their functions differ within the industry.

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

To thrive as a Contract Broker Dealer, you need a solid understanding of securities regulations, financial markets, and sales practices, typically supported by FINRA Series 7 and Series 63/66 licenses. Familiarity with trading platforms, compliance monitoring tools, and CRM systems is essential for daily operations. Strong negotiation, relationship-building, and ethical decision-making skills help set top professionals apart in this role. These skills and qualifications are vital to ensure compliance, build client trust, and effectively facilitate investment transactions.

What are some common challenges faced by Contract Broker Dealers, and how can they be addressed?

Contract Broker Dealers often face challenges such as staying compliant with evolving regulatory requirements, managing multiple client relationships, and maintaining up-to-date knowledge of financial products. To address these, it's important to invest time in ongoing professional education, utilize compliance management tools, and foster clear communication with clients and internal teams. Collaborating closely with compliance officers and attending industry seminars can also help you stay ahead of regulatory changes and industry best practices.

What is a Contract Broker Dealer?

A Contract Broker Dealer is a financial firm or individual authorized to buy and sell securities on behalf of clients, often under a contractual arrangement rather than as a full-time employee. These professionals facilitate transactions between buyers and sellers of securities, ensuring regulatory compliance and best execution. They often work with investment firms, hedge funds, or brokers who need additional capacity or specialized expertise for particular deals. Contract Broker Dealers must be registered with regulatory bodies like FINRA and adhere to strict industry standards. Their role is crucial for maintaining efficient and transparent markets.
More about Contract Broker Dealer jobs
What cities are hiring for Contract Broker Dealer jobs? Cities with the most Contract 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 Contract Broker Dealer jobs? States with the most job openings for Contract Broker Dealer jobs include:
What job categories do people searching Contract Broker Dealer jobs look for? The top searched job categories for Contract Broker Dealer jobs are:
Contract Broker Dealer jobs near you
Infographic showing various Contract Broker Dealer job openings in the United States as of July 2026, with employment types broken down into 1% Locum Tenens, 2% As Needed, 88% Full Time, 5% Part Time, and 4% Contract. Highlights an 78% Physical, 7% Hybrid, and 15% Remote job distribution, with an average salary of $82,428 per year, or $39.6 per hour.
Business Analyst (Broker-Dealer / Workflow / BPM)

Business Analyst (Broker-Dealer / Workflow / BPM)

JS Consulting

Charlotte, NC • On-site

Contractor

Posted 17 days ago

Job description

Job Title- Business Analyst

Project Location – Hybrid in Charlotte, NC

Duration- 6-12+ months contract

Visa- USC/ GC

Job Description-:  **MUST HAVE BROKER_DEALER EXP AS A BUSINESS ANALYST

About the Role:
We are seeking a skilled Business Analyst to join team in Charlotte, NC. This long-term contract position offers a hybrid work model, blending remote and on-site collaboration. The ideal candidate will have strong financial services experience, preferably with broker-dealer business knowledge; however, candidates with solid experience in workflow management, Business Process Management (BPM), or case management are also encouraged to apply. Please note, this role requires local candidates only; no relocation assistance is provided.

 Key Responsibilities:

  • Collaborate with stakeholders to gather, analyze, and document business requirements related to broker-dealer operations, workflow processes, or case management systems.
  • Translate business needs into clear functional specifications and user stories to support software development and process improvements.
  • Partner with technical teams to design and implement workflow/BPM solutions that enhance operational efficiency.
  • Facilitate workshops, requirements sessions, and communication across business and IT teams.
  • Support testing activities by reviewing test plans and validating that delivered solutions meet business requirements.
  • Assist with change management and training as needed to ensure smooth adoption of new processes and systems.

 Qualifications:

  • Bachelor’s degree required.
  • Proven experience as a Business Analyst within financial services is mandatory, with broker-dealer business knowledge preferred.
  • Strong background in workflow management, BPM tools, or case management platforms acceptable.
  • Excellent communication and interpersonal skills to engage with diverse stakeholders.
  • Ability to work independently and collaboratively in a hybrid work environment.

Respectfully,