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Independent Broker Dealer Jobs (NOW HIRING)

Sei-Investments

Relationship Manager

Oaks, PA · On-site

$100 - $125/hr

Lead business development, client relationship, and territory management for existing advisor-client firms in the independent broker/dealer channel of the Sales & Client Team.Proactively engage ...

SEI Investments

Relationship Manager

Oaks, PA

Lead business development, client relationship, and territory management for existing advisor-client firms in the independent broker/dealer channel of the Sales & Client Team. * Proactively engage ...

Raymond James Financial, Inc.

NY · On-site

$100 - $125/hr

Broker/Dealer Operations SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in ... Work independently on routine assignments and exercise sound judgment when escalating non-routine ...

Raymond James Financial, Inc.

$100 - $125/hr

Broker/Dealer Operations SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in ... Work independently on routine assignments and exercise sound judgment when escalating non-routine ...

Suron A.C.A. Ltd.

$150 - $200/hr

This territory includes a mix of top-tier wirehouse teams and large independent broker-dealer and hybrid advisors. The role requires strong platform fluency, deep relationship-management skills, and ...

Mohr Talent

Advertising Compliance Analyst

Scottsdale, AZ · On-site

$80 - $100/hr

... Independent Broker-Dealer/RIA is seeking an experienced Advertising Compliance Analyst to join its growing Home Office Compliance team. This is an outstanding opportunity for someone with direct ...

Cetera

Compliance Analyst - Broker Dealer

Dallas, TX · Hybrid

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and ... Ability to work independently and collaboratively in a team environment. * Ability to manage ...

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Independent Broker Dealer information

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$5

$34

$65

How much do independent broker dealer jobs pay per hour?

As of Sep 9, 2026, the average hourly pay for independent broker dealer in the United States is $34.85, according to ZipRecruiter salary data. Most workers in this role earn between $25.96 and $25.96 per hour, depending on experience, location, and employer.

What is an independent broker dealer?

An Independent Broker Dealer is a financial firm that facilitates the buying and selling of securities, such as stocks and bonds, on behalf of clients. Unlike traditional broker dealers tied to large banks or investment companies, independent broker dealers operate autonomously and offer their affiliated financial advisors a broader selection of investment products. This independence allows advisors to tailor recommendations more closely to clients' needs, as they're not restricted to proprietary products. Independent broker dealers are regulated by entities like FINRA and the SEC to ensure compliance and investor protection.

How does an independent broker dealer collaborate with financial advisors and clients to deliver investment solutions?

Independent Broker Dealers work closely with financial advisors by providing them with access to a broad range of investment products, research, compliance support, and technology platforms. This collaborative approach allows advisors to offer tailored investment solutions that meet clients' diverse financial needs. The structure often encourages open communication and autonomy, enabling advisors to build strong, long-term relationships with their clients while leveraging the dealer’s resources for operational and regulatory support.

What are the key skills and qualifications needed to thrive as an independent broker dealer, and why are they important?

To thrive as an Independent Broker Dealer, you need a deep understanding of financial markets, investment products, and regulatory compliance, typically supported by FINRA Series 7 and Series 63/66 licenses. Proficiency in client relationship management (CRM) software, portfolio management systems, and financial planning tools is essential. Exceptional interpersonal skills, ethical judgment, and the ability to build lasting client relationships set top performers apart. These skills and qualities are crucial for delivering personalized investment solutions, maintaining regulatory compliance, and growing a successful practice.

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

AspectIndependent Broker DealerRegistered Representative
CredentialsFINRA registration, Series 7, Series 63/66Series 7, Series 63/66, registered with a broker-dealer
Work EnvironmentOperates independently or with multiple firms, self-employed or affiliatedEmployed by a broker-dealer, working under their supervision
Employer & Industry UsageIndependent firms, financial advisory networksMajor brokerage firms, banks, financial institutions

While both roles require FINRA registration and similar licenses, an Independent Broker Dealer operates independently or with multiple firms, offering more autonomy. A Registered Representative works directly for a broker-dealer, following their supervision. The key difference lies in independence and employer structure, impacting work flexibility and business model.

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What states have the most Independent Broker Dealer jobs?

States with the most job openings for Independent Broker Dealer jobs include:

What are popular job titles related to Independent Broker Dealer jobs?

For Independent Broker Dealer jobs, the most frequently searched job titles are:

Independent Broker Dealer jobs near you
Infographic showing various Independent Broker Dealer job openings in the United States as of September 2026, with employment types broken down into 1% As Needed, 72% Full Time, 19% Part Time, and 8% Contract. Highlights an 90% Physical, 1% Hybrid, and 9% Remote job distribution, with an average salary of $72,491 per year, or $34.9 per hour.

Senior Auditor, Broker Dealer/Asset Management

Westlake, TX • On-site

Charles Schwab Inc.
See more jobs at Charles Schwab Inc.external

$80K - $100K/yr

Full-time

Re-posted 26 days ago

Key responsibilities

  • Participate in the planning and execution of internal audit assignments, including scoping, testing, and drafting audit deliverables.

  • Identify and draft audit observations based on audit testing results and conduct validation testing of business action plans.

  • Assist in the annual risk assessment process by scheduling meetings, scoring, and documenting risk ratings.

Job description

Your Opportunity
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist). The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab's registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team's scope includes audit execution and oversight for Schwab's: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab's platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.
Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
What you'll do:
  • Audit Execution: Participate in the planning and execution of internal audit assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit deliverables; design and execution of testing; and completion and review of work papers. Additionally, assist in the tracking of team operations including audit status, issue status, and budgets.
  • Issues Identification: Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below).
  • Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
  • Risk Assessment: Under the direct supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings.
  • Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
  • Administration/Training: Completion of firm-wide and departmental administration and training requirements.
  • Other Initiatives/Special Projects: As needed, assist with special projects related to business operational improvement or internal team needs.

What you have
  • 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
  • Demonstrated experience performing internal audits amongst a complex operational and regulatory environment.
  • Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
  • CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
  • Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls.
  • Stays current on industry and regulatory issues and standard methodologies for AML; imparts this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
  • Strong verbal and written communication skills with a shown ability to articulate effectively and authoritatively.
  • Bachelor's degree required.

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