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Temporary Broker Dealer Compliance Jobs (NOW HIRING)

Finalis

$125 - $150/hr

The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program throughout the lifecycle of our registered representatives, from onboarding and registration through ...

Finalis

Broker-Dealer Compliance Analyst

$65K - $90K/yr

The Broker-Dealer Compliance Specialist supports Finalis's supervisory and compliance program throughout the lifecycle of our registered representatives, from onboarding and registration through ...

New

Green Key Resources

Broker Dealer CCO

Manhattan, NY · On-site

Broker-Dealer Chief Compliance Officer Position Overview A leading financial services organization is seeking an experienced Chief Compliance Officer (CCO) to oversee compliance for its broker-dealer ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC

The Senior Compliance Manager serves as the firm's subject matter expert for broker-dealer compliance, registrations, and licensing. This role is responsible for leading and enhancing the firm ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

The Senior Compliance Manager serves as the firm's subject matter expert for broker-dealer compliance, registrations, and licensing. This role is responsible for leading and enhancing the firm ...

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Temporary Broker Dealer Compliance information

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$31.5K

$98.9K

$207.5K

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

As of Sep 8, 2026, the average yearly pay for temporary 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 is the difference between Temporary Broker Dealer Compliance vs Temporary Registered Representative?

AspectTemporary Broker Dealer ComplianceTemporary Registered Representative
CertificationsFINRA Series 7, 24, 63 or 66 (depending on role)FINRA Series 7, 63 or 66
Work EnvironmentCompliance departments within broker-dealer firmsSales and client interaction roles at brokerages
Employer & Industry UsageBroker-dealer firms, compliance departmentsBroker-dealer firms, securities firms
Search & Comparison IntentUnderstanding compliance roles in broker-dealersSales roles and licensing requirements

Temporary Broker Dealer Compliance professionals focus on ensuring firms adhere to regulatory standards, often working within compliance departments. Temporary Registered Representatives are involved in client-facing sales activities, holding necessary licenses. While both roles require FINRA licenses, compliance roles emphasize regulatory oversight, whereas registered representatives focus on sales and client service.

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Temporary Broker Dealer Compliance jobs near you
Infographic showing various Temporary Broker Dealer Compliance job openings in the United States as of August 2026, with employment types broken down into 1% As Needed, 83% Full Time, 12% Part Time, and 4% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Broker/Dealer Compliance, Associate

Blue Owl Capital Inc.

Short Hills, NJ • On-site

$100 - $125/hr

Other

Medical, Dental, Vision, Retirement, PTO

Posted 6 days ago

Key responsibilities

  • Implement policies and procedures related to broker-dealer compliance.

  • Coordinate FINRA filings, registered representative onboarding, and support the annual cycle of reports and filings.

  • Support broker-dealer compliance activities such as Rule 3120 testing, continuing education, branch inspections, and employee training.

Job description

## Broker/Dealer Compliance, AssociateApplylocations: Short Hills, NJtime type: Full timeposted on: Posted 30+ Days Agojob requisition id: R-102234Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives.With over $315 billion in assets under management as of March 31, 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 1,390 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional. To learn more, visit www.blueowl.comThis 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* Ability to work both independently and collaboratively in a team environment* Series 7 and Series 24 licenses requiredThe 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. #J-18808-Ljbffr

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