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Remote Compliance Broker Dealer Jobs (NOW HIRING)

Alpaca

Financial Operations Principal

... broker-dealer infrastructure while ensuring the firm remains compliant as new products and services are introduced. Our Accounting & Finance team is fully remote, and this role reports directly to ...

Plume

Compliance Director

As the Chief Compliance Officer for Plume's broker-dealer and transfer agent operations, you will ... A collaborative work environment with flexibility for remote/hybrid arrangements. * The chance to ...

Confluence Technologies

Compliance Manager

$75K - $100K/yr

This is an opportunity to work across a diverse portfolio of investment adviser, broker-dealer and ... Fully remote working environment. * Exposure to investment advisers, broker-dealers, private funds ...

Alpaca

Financial Operations Principal

New York, NY · On-site +1

... broker-dealer infrastructure while ensuring the firm remains compliant as new products and services are introduced. Our Accounting & Finance team is fully remote, and this role reports directly to ...

Osaic

Branch Office Examiner

Petersburg, VA · On-site +1

$65K - $75K/yr

Current Employees and Contractors Apply HereOsaic Careers REMOTE Compliance Risk Opportunity in ... Minimum 3 years Independent Broker-Dealer experience. * FINRA series 7 license is required. Series ...

Osaic

Branch Office Examiner

Oakdale, MN · On-site +1

$65K - $75K/yr

Current Employees and Contractors Apply HereOsaic Careers REMOTE Compliance Risk Opportunity in ... Minimum 3 years Independent Broker-Dealer experience. * FINRA series 7 license is required. Series ...

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Remote Compliance Broker Dealer information

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$31.5K

$98.9K

$207.5K

How much do remote compliance broker dealer jobs pay per year?

As of Aug 29, 2026, the average yearly pay for remote compliance broker dealer 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 is a remote compliance broker dealer?

A Remote Compliance Broker Dealer is a professional who oversees and ensures that a financial firm or brokerage adheres to industry regulations and legal standards while working remotely. Their responsibilities include monitoring transactions, implementing compliance policies, and ensuring the firm meets all regulatory requirements set by bodies like FINRA and the SEC. By working remotely, they leverage technology to conduct audits, review documentation, and communicate with stakeholders to maintain compliance standards. This role is vital in preventing regulatory violations and protecting both clients and the firm.

How does a remote compliance broker dealer collaborate with on-site teams and ensure consistent communication?

As a remote compliance broker dealer, effective collaboration with on-site teams is essential for maintaining regulatory standards and operational efficiency. This typically involves daily or weekly virtual meetings, sharing compliance reports via secure platforms, and using project management tools to track tasks. Regular communication with legal, operations, and trading departments helps ensure all policies are uniformly applied and any emerging compliance issues are addressed promptly. Building strong relationships remotely also involves being proactive in updates and responsive to queries from various stakeholders.

What are the key skills and qualifications needed to thrive as a remote compliance broker dealer, and why are they important?

To thrive as a Remote Compliance Broker Dealer, you need a strong understanding of SEC, FINRA, and other relevant regulatory frameworks, typically supported by a Series 7, Series 24, or similar FINRA licenses. Proficiency with compliance management software, trade surveillance systems, and reporting platforms is essential. Attention to detail, integrity, and strong communication skills help ensure adherence to regulations and effective coordination with remote teams. These skills are crucial for maintaining regulatory compliance, minimizing risk, and upholding the firm’s reputation in a distributed work environment.

What is the difference between Remote Compliance Broker Dealer vs Remote Compliance Registered Representative?

AspectRemote Compliance Broker DealerRemote Compliance Registered Representative
CertificationsFINRA Series 7, 24, 63/65/66Series 7, 63/65/66
Work EnvironmentOperates the broker-dealer, oversees compliance, manages firm policiesWorks under a broker-dealer, interacts with clients, executes trades
Employer & Industry UsageRegistered with FINRA, manages compliance for broker-dealer firmsEmployed by broker-dealers, involved in client transactions

The main difference is that a Remote Compliance Broker Dealer oversees compliance for the entire firm, holding broker-dealer registration, while a Remote Compliance Registered Representative primarily interacts with clients and executes trades under the broker-dealer's supervision. Both roles require similar certifications but differ in responsibilities and scope within the industry.

More about Remote Compliance Broker Dealer jobs

What cities are hiring for Remote Compliance Broker Dealer jobs?

Cities with the most Remote Compliance Broker Dealer job openings:

What states have the most Remote Compliance Broker Dealer jobs?

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

What job categories do people searching Remote Compliance Broker Dealer jobs look for?

The top searched job categories for Remote Compliance Broker Dealer jobs are:

Remote Compliance Broker Dealer jobs near you
Infographic showing various Remote Compliance Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 84% Full Time, 11% Part Time, and 4% Contract. Highlights an 92% Physical, 3% Hybrid, and 5% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Broker Dealer Compliance Officer Remote

Smithtown, NY • On-site, Remote

Compliance Exchange Group
Finance and Insurance • 1 - 10 employees
Learn more about Compliance Exchange Groupexternal

$40 - $60/hr

Full-time

Dental, Vision, Retirement, PTO

Re-posted 3 hours ago

Job description

Benefits:
  • 401(k)
  • Dental insurance
  • Flexible schedule
  • Opportunity for advancement
  • Paid time off
  • Parental leave
  • Training & development
  • Vision insurance

We're currently seeking an additional Compliance Officer to join our team. In this role, you'll be providing regulatory compliance services to client broker-dealers, including establishing processes. The ideal candidate will possess prior experience and hold active FINRA Series 7 & 24 licenses. This role will report to our Director of Growth and Operations.
is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. We are the architects charged with building successful firms for our clients. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.
We love what we do and we're on a path for growth. Compliance Exchange Group is comprised of professionals that exhibit a passion for building and maintaining broker-dealers. We offer a fully remote work environment with a company culture that promotes personal and professional development as well as a healthy work-life balance. We provide an array of benefits including competitive compensation, flexible work schedules, PTO, 401(k) with employer contribution, performance-based bonuses, opportunities for growth and more!
This role is open to both W2 and 1099 opportunities with a compensation range of $40-$60 per hour
This is a remote position.
Compensation: $40.00 - $60.00 per hour
About CXG
Compliance Exchange Group (CXG) supports broker-dealers and financial services firms as they navigate complex regulatory environments and build sustainable, compliant businesses. We specialize in broker-dealer consulting and Chief Compliance Officer outsourcing, providing end-to-end support across compliance and finance functions.
Our team includes experienced professionals serving in roles such as:
  • Chief Compliance Officers
  • FINOPs
  • Licensed Principals
  • Series 4 - Registered Options
  • Series 24 - General Securities
  • Series 79 - Investment Banking

CXG professionals bring deep, practical experience. Many have helped build broker-dealers from the ground up and have held leadership roles including CEO, CFO, CCO, FINOP, and board positions. This real-world background allows us to approach our work thoughtfully, pragmatically, and with a strong understanding of how firms grow.
We work with startups seeking FINRA approval as well as small- to mid-sized firms looking to scale responsibly. Our focus is on delivering solutions that are practical, collaborative, and built to last.
At CXG, we value professionalism, integrity, and clear communication - both with our clients and with one another. We are building a team of people who take pride in their work, support one another, and want to grow alongside the company.

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