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Entry Level Broker Dealer Compliance Jobs (NOW HIRING)

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Compliance Analyst - Broker Dealer

Dallas, TX · Hybrid

The Broker Dealer (BD) Compliance team is responsible for helping ensure the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core ...

Cetera

Compliance Analyst - Broker Dealer

Dallas, TX · On-site

The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm's policies and procedures are applied consistently in the regulatory review of new applicants. Our core function is to ...

Cetera

Compliance Analyst - Broker Dealer

Dallas, TX · On-site

The Broker Dealer (BD) Compliance team is responsible for ensuring that the Firm's policies and procedures are applied consistently in the regulatory review of new applicants. Our core function is to ...

MICHAEL SHIEH

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Financial Advisor Assistant (Mandarin/English Bilingual)

Irvine, CA · On-site

$24 - $26/hr

Coordinate with the broker-dealer and custodian on account servicing requests * Support client onboarding, filing, and recordkeeping to meet firm and broker-dealer compliance requirements * Assist ...

MICHAEL SHIEH

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Financial Advisor Assistant (Mandarin/English Bilingual)

Irvine, CA · On-site

$24 - $26/hr

Coordinate with the broker-dealer and custodian on account servicing requests * Support client onboarding, filing, and recordkeeping to meet firm and broker-dealer compliance requirements * Assist ...

Citadel

Financial Advisor

Pottstown, PA · On-site

Makes appropriate recommendations in accordance with broker dealer compliance policies and procedures. * Has and maintains a thorough understanding of the current market and of the Firm's products ...

Citadel

Financial Advisor

Pottstown, PA · On-site

Makes appropriate recommendations in accordance with broker dealer compliance policies and procedures. * Has and maintains a thorough understanding of the current market and of the Firm's products ...

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Entry Level Broker Dealer Compliance information

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$31.5K

$98.9K

$207.5K

How much do entry level broker dealer compliance jobs pay per year?

As of Aug 11, 2026, the average yearly pay for entry level broker dealer compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as an entry level broker dealer compliance professional, and why are they important?

To thrive as an Entry Level Broker Dealer Compliance professional, you typically need a bachelor’s degree in finance, business, or a related field, along with a strong understanding of financial regulations and securities laws. Familiarity with compliance management systems, regulatory reporting tools, and possibly FINRA Series 7 or 24 certifications is often required. Attention to detail, analytical thinking, and strong communication skills help you effectively monitor compliance and collaborate with internal teams. These skills are crucial to ensure regulatory adherence, minimize risk, and uphold the integrity of financial operations.

What is an entry level broker dealer compliance professional?

An Entry Level Broker Dealer Compliance professional is responsible for helping ensure that a brokerage firm follows all securities laws, regulations, and internal policies. Their duties often include monitoring transactions, conducting compliance reviews, preparing reports, and assisting with regulatory filings. This role is crucial in preventing fraud and maintaining the integrity of financial markets. Entry-level compliance professionals typically work under the supervision of senior staff as they gain experience in the field.

What are some typical challenges entry level broker dealer compliance professionals face during their first year on the job?

Entry-level broker dealer compliance professionals often face the challenge of quickly learning a complex regulatory landscape, including rules from the SEC and FINRA. Navigating the fast-paced environment, staying updated on frequent regulatory changes, and ensuring all documentation and processes meet compliance standards can be demanding. Additionally, new professionals may need to develop strong communication skills to effectively collaborate with brokers, legal teams, and management. Over time, building proficiency in these areas becomes easier with experience and ongoing training.

What is the difference between Entry Level Broker Dealer Compliance vs Entry Level Securities Analyst?

AspectEntry Level Broker Dealer ComplianceEntry Level Securities Analyst
CertificationsFINRA Series 7, 63, 66 (preferred)None required, but FINRA Series 7 beneficial
Work EnvironmentRegulatory compliance departments, broker-dealer firmsFinancial analysis departments, investment firms
Industry UsageUsed in broker-dealer firms to ensure regulatory adherenceUsed in investment firms for market and company analysis
Search IntentCompliance roles, broker-dealer regulationsFinancial analysis, securities research

Entry Level Broker Dealer Compliance focuses on ensuring broker-dealer firms adhere to industry regulations, requiring compliance certifications like Series 7 and 63. Entry Level Securities Analyst involves analyzing securities and market data, often without specific compliance certifications. While both roles are within the financial industry, compliance roles emphasize regulatory adherence, whereas securities analysts focus on market research and analysis.

More about Entry Level Broker Dealer Compliance jobs
What cities are hiring for Entry Level Broker Dealer Compliance jobs? Cities with the most Entry Level Broker Dealer Compliance job openings:
What are the most commonly searched types of Broker Dealer Compliance jobs? The most popular types of Broker Dealer Compliance jobs are:
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Entry Level Broker Dealer Compliance jobs near you
Infographic showing various Entry Level Broker Dealer Compliance job openings in the United States as of August 2026, with employment types broken down into 90% Full Time, 6% Part Time, and 4% Contract. Highlights an 91% In-person, and 9% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Broker/Dealer Compliance, Associate

Blue Owl

Short Hills, NJ

$100K - $115K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 27 days ago

Job description

Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives.


With over $319 billion in assets under management as of June 30, 2026, we invest across three multi-strategy platforms: Credit, Real Assets and GP Strategic Capital. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.


Together with over 1,380 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional. To learn more, visitwww.blueowl.com

This role is in office Monday to Thursday.

The Role

Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm's broker-dealer affiliate, Blue Owl Securities LLC. This role will sit within Blue Owl's broader Compliance department and support oversight of the firm's limited-purpose broker-dealer. Title will be commensurate with experience.

Responsibilities

The primary responsibility of this position is to implement policies and procedures related to the broker-dealer and support the annual cycle of reports and filings required to maintain compliance with FINRA requirements. This role reports to the Head of the Business Conduct Group.

The successful candidate will contribute to the following areas:

  • Coordinate FINRA filings and registered representative onboarding, including Forms U4, U5, BR, and BD

  • Support the broker-dealer's Rule 3120 testing program

  • Coordinate continuing education requirements and Annual Compliance Meeting logistics

  • Maintain the branch inspection calendar

  • Assist in developing and delivering employee training

  • Support additional aspects of broker-dealer compliance, as needed

Qualifications

  • Minimum of 2 years of relevant experience in broker-dealer compliance within a FINRA-regulated environment, preferably at an institutional firm

  • Strong understanding of securities laws, rules, and regulations applicable to FINRA members

  • Highly detail-oriented with strong organizational and prioritization skills

  • Leverage AI as a tool to drive efficiency

  • Ability to work both independently and collaboratively in a team environment

  • Series 7 and Series 24 licenses required

The base annual salary range for this New Jersey-based position will be $100,000 to $115,000. Actual salary offered will be based on the candidate's skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.

Benefits for this role include Health, Dental and Vision insurance, 401(k), Healthcare and Dependent Care Flexible Spending Account, Short Term Disability insurance, Long Term Disability Insurance, Family Planning Support, Paid Time Off, and Leave of Absences. All such benefits are subject to the terms/conditions of the Company's benefits plans and policies.

Blue Owl is proud to be an Equal Opportunity Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

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