Broker-Dealer Compliance Officer

Makes sure a brokerage firm's advisors and traders follow securities rules.

A day in the life

You review advisors' emails for red flags, approve a marketing brochure and investigate a client complaint.

Pay over a career

Starting

$65k

Typical

$100k

High

$160k

Approximate: anchored on Bureau of Labor Statistics data for a broader job group.

Training

Bachelor's degree (4-year), about 4 years after high school. Bachelor's; FINRA Series 24 and other licenses.

Ways in: 4-year college, Certification. Training cost: $15k – $60k.

Majors to look at: Finance, Law.

Outlook

Growing about average (about 4% over 10 years). Tracks compliance officers.

Will it last? Our AI estimate

Medium risk for 10 years. Surveillance software reviews emails and trades; licensed compliance officers still approve, train and answer to regulators.

Start now, in high school

Classes: Business class, AP Government.

• Compete in FBLA business law events
• Join Mock Trial

Official data: O*NET occupation 13-1041.

More Financial Crime & Regulation careers

• SEC Enforcement Attorney
• IRS Criminal Investigation Special Agent
• BSA/AML Officer
• Financial Regulatory Policy Advisor
• Bank Examiner
• Securities Industry Examiner
• Anti-Money Laundering Investigator
• Sanctions Analyst
• Certified Fraud Examiner
• Market Surveillance Analyst
• Insurance Department Examiner
• Financial Intelligence Analyst
• Elder Financial Abuse Investigator
• AML Alert Analyst
• Bank Fraud Claims Specialist
• Securities Registration Specialist
• Fraud Prevention Manager
• Consumer Financial Protection Investigator
• Asset Forfeiture Specialist
• Lottery Security Investigator

Career Universe is an early version. Pay, training and AI-risk figures are estimates to start your own research, not verified facts. The research was written with AI research assistants, checked by validation scripts and spot-checked by hand. Check anything important with schools, employers and official sources. How the numbers work.