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Securities Broker Dealer Jobs (NOW HIRING)

Advisor Talent Solutions

Compliance Manager

San Diego, CA · On-site

$94K - $125K/yr

As Compliance Manager, you'll serve as a trusted compliance partner to Madison Avenue Securities (MAS) advisors and leadership, providing practical guidance across both our broker-dealer and ...

Huron Consulting Group

Trade Analyst

Chicago, IL · On-site

... securities. Broker/Dealer experience. Working with alert clearing tools and technologies is preferred. Experience working with a high volume of alerts is preferred. Experience with Actimize, Smarts ...

Huron Consulting Group

Trade Analyst

Chicago, IL · On-site +1

... securities. Broker/Dealer experience. Working with alert clearing tools and technologies is preferred. Experience working with a high volume of alerts is preferred. Experience with Actimize, Smarts ...

BBVA

Broker-Dealer Accounting Senior Analyst

New York, NY · On-site

$100K - $110K/yr

S. broker-dealer subsidiary of a global financial services group based out of Spain. Accounting ... Familiarity with fixed income securities * Experience in using Broadridge Impact * Experience in ...

Huron Consulting Group

Trade Analyst

Chicago, IL · On-site

Consultants' main role is providing trade surveillance and clearing trade alerts for various securities. Broker/Dealer experience. Working with alert clearing tools and technologies is preferred.

Huron Consulting Group

Trade Analyst

Chicago, IL · On-site

Consultants' main role is providing trade surveillance and clearing trade alerts for various securities. Broker/Dealer experience. Working with alert clearing tools and technologies is preferred.

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Securities Broker Dealer information

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$30.5K

$59.1K

$85K

How much do securities broker dealer jobs pay per year?

As of Sep 2, 2026, the average yearly pay for securities broker dealer in the United States is $59,058.00, according to ZipRecruiter salary data. Most workers in this role earn between $44,000.00 and $73,500.00 per year, depending on experience, location, and employer.

What is a securities broker dealer?

A securities broker dealer is a person or firm that buys and sells securities, such as stocks and bonds, either on behalf of clients (as a broker) or for their own account (as a dealer). Broker dealers play a crucial role in financial markets by facilitating transactions, providing liquidity, and helping investors access investment opportunities. They are regulated by organizations like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) to ensure fair and transparent trading practices.

What does a securities broker dealer do?

As a securities broker-dealer, you are a licensed trading professional whose responsibilities are to buy and sell securities for each client and for the firm with which they work. Securities broker-dealers work on behalf of both their own clients and a brokerage firm to handle investments for both parties. Your duties as a securities broker-dealer include managing each client trading account and the trading account of your firm, consulting your clients and your firm on beneficial trades, buying and selling securities for clients and your firm, and analyzing trading trends and transactions to ensure worthwhile investments to meet your clients’ needs.

What are the key skills and qualifications needed to thrive as a securities broker dealer?

To thrive as a Securities Broker Dealer, you need strong analytical abilities, financial market knowledge, and typically a bachelor's degree in finance or a related field, along with FINRA Series 7 and Series 63/66 licenses. Proficiency in trading platforms, financial modeling tools, and regulatory compliance systems is crucial. Excellent communication, negotiation, and client relationship management skills help build trust and grow a client base. These competencies ensure compliance, effective trade execution, and sustained client satisfaction in a highly regulated and competitive environment.

What are some typical challenges faced by securities broker dealers when managing client relationships?

Securities broker dealers often encounter challenges such as balancing the diverse investment goals and risk tolerances of multiple clients, staying up-to-date with regulatory changes, and managing market volatility. Effective communication is essential to ensure clients are well-informed and confident in their investment decisions. Building trust and maintaining long-term relationships require transparency, strong product knowledge, and the ability to provide tailored advice amid a fast-paced and competitive environment.

What is the difference between Securities Broker Dealer vs Securities Analyst?

AspectSecurities Broker DealerSecurities Analyst
CredentialsFINRA licenses (e.g., Series 7, Series 63)Typically a degree in finance or related field; certifications like CFA are common
Work EnvironmentFinancial firms, brokerage houses, trading floorsInvestment firms, research departments, financial institutions
Employer & Industry UsageUsed by brokerage firms, securities firms, investment banksEmployed by investment banks, asset management firms, research companies
Search & Comparison IntentUnderstanding roles, licensing, career pathsAnalyzing securities, market research, investment recommendations

While Securities Broker Dealers facilitate buying and selling securities for clients, Securities Analysts focus on researching and evaluating securities to guide investment decisions. Both roles are integral to the finance industry but serve different functions and require distinct credentials.

Are securities broker dealers still in demand?

Securities broker-dealers continue to be in demand as they play a key role in financial markets by facilitating trading and investment services. The industry requires licensed professionals with strong knowledge of regulations, financial products, and client management, and employment opportunities remain steady despite market fluctuations.

Do securities broker dealers make good money?

Securities broker-dealers can earn high incomes, especially through commissions, fees, and bonuses based on sales performance. Compensation varies widely depending on experience, client base, and firm size, with successful brokers often earning six-figure or higher annual incomes. However, the role requires strong sales skills, licensing, and often long hours.

How do securities broker-dealers get paid?

Securities broker-dealers earn commissions and fees from executing trades, selling investment products, and providing advisory services. They may also receive markups or markdowns on securities transactions and sometimes earn ongoing fees for managing client accounts, depending on the services offered and regulatory rules.
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Securities Broker Dealer jobs near you
Infographic showing various Securities Broker Dealer job openings in the United States as of August 2026, with employment types broken down into 100% Full Time. Highlights an 95% In-person, and 5% Remote job distribution, with an average salary of $59,058 per year, or $28.4 per hour.

Managing Director, Broker-Dealer Supervision

NewEdge Capital Group LLC

Stamford, CT • On-site, Remote

$194K - $219K/yr

Full-time

Posted 18 days ago

Job description

About the Role

NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm's supervisory framework across all registered representative and branch activity. The role is distinct from the compliance function and focuses on day-to-day operational supervision ? ensuring the firm meets its FINRA Rule 3110 obligations and that supervisory controls are embedded in business processes firm-wide.

Location: The ideal candidate will report to one of the following offices: Pittsburgh, PA; Stamford, CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply.

Key Responsibilities

  • Ensure alignment with Firm WSPs, current regulatory requirements and actual business practices
  • Execute daily supervisory review of registered representative activity across equities, fixed income, options, alternative investments, and annuity/insurance products
  • Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events
  • Manage escalation of supervisory findings to senior leadership; partner with the CCO where matters have compliance or regulatory implications
  • Supervise and develop the supervision team; set performance standards and manage workflow
  • Oversee CAT reporting obligations and ensure accuracy and timeliness of submissions in coordination with operations
  • Oversee TRACE reporting supervision for fixed income transactions, including exception review and error remediation
  • Administer and leverage Smarsh for electronic communications surveillance, including email and correspondence review
  • Administer and leverage Protegent for supervisory exception reporting and trade review
  • Monitor FINRA Notices and rule updates with direct supervisory implications and update WSPs accordingly
  • Coordinate with NFS on operational supervision matters related to the clearing relationship
  • Support FINRA cycle examinations and for-cause inquiries as the subject matter expert on supervisory systems and procedures
  • Maintain the firm's supervisory review logs and exception reporting infrastructure

Qualifications

  • 10+ years of broker-dealer supervision experience in a FINRA-regulated environment
  • Active Series 24 required; Series 9/10 a plus given options and equities business lines
  • Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations
  • Hands-on experience with trade review and electronic communications surveillance platforms including email and correspondence review; familiarity with Protogent preferred
  • Experience supervising across multiple product types including equities, fixed income, options, alternative investments, and annuities/insurance products
  • Experience with FINRA examination processes, particularly in a supervisory capacity
  • Proven ability to build and manage supervisory systems and procedures in a growing or evolving firm
  • Strong written communication skills; WSP drafting experience required
  • Excellent interpersonal and management skills with ability to work across the spectrum of clients, business partners and regulators
  • Must possess complex problem-solving skills to deal with the daily challenges that arise from supervising registered representatives that engage in multiple and different lines of business
  • Ability to address issues in an efficient manner in a fast-paced environment
  • Correspondent broker-dealer experience a plus
  • Investment advisor experience a plus

Apply